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ISDA derivatiViews: Exploring A Central Notices Hub

Date 28/09/2023

It’s well understood that people should hope for the best but be prepared for the worst. When it comes to the derivatives market, the ISDA Master Agreement does just that. Many of its most important clauses set out the steps firms should take if the worst does occur and a trading counterparty fails. These provisions have proved to be robust over three decades, but practical challenges can still arise, particularly when it comes to delivering critical notices to counterparties. ISDA has been working with members to consider possible solutions – and we think technology could be the answer.
CFTC Charges Unregistered Pool Operator And Its Owner With $7.1 Million Fraud

Date 28/09/2023

The Commodity Futures Trading Commission today filed a civil enforcement action in the U.S. District Court for the Eastern District of Michigan against Darren Robinson, a former resident of Miami, Florida, and his firm The QYU Holdings Inc. (QYUHI), a Wyoming corporation with a purported principal place of business in Dallas, Texas.
Federal Reserve: Senior Credit Officer Opinion Survey On Dealer Financing Terms

Date 28/09/2023

The Senior Credit Officer Opinion Survey on Dealer Financing Terms (SCOOS) is a quarterly survey providing information about the availability and terms of credit in securities financing and over-the counter (OTC) derivatives markets. The SCOOS is modeled after the long-established Senior Loan Officer Opinion Survey on Bank Lending Practices, which provides qualitative information about changes in supply and demand for loans to households and businesses at commercial banks. The SCOOS collects qualitative information on credit terms and conditions in securities financing and OTC derivatives markets, which are important conduits for leverage in the financial system. The survey panel for the SCOOS began by including 20 dealers and over time has been expanded. These firms account for almost all of the dealer activity in dollar-denominated securities financing and OTC derivatives markets. The survey is directed to senior credit officers responsible for maintaining a consolidated perspective on the management of credit risks. The HTML links below include the full report; the PDF links include the summary only.
FTSE Russell Announces The Results Of Its 2023 Annual Country Classification Review For Equities And Fixed Income

Date 28/09/2023

FTSE Russell, the leading global index provider, has published the results of its annual country classification review for countries monitored by its global equity and fixed income indices.
Office Of The Comptroller Of The Currency Releases Bank Supervision Operating Plan For Fiscal Year 2024

Date 28/09/2023

The Office of the Comptroller of the Currency (OCC) today released its bank supervision operating plan for fiscal year (FY) 2024.

Closing Remarks, Federal Reserve Governor Lisa D. Cook, At The Minorities In Banking Forum, Federal Reserve Bank Of Dallas, Dallas, Texas

Date 28/09/2023

Good afternoon! I am Governor Lisa D. Cook. And it is a privilege to be able to say a few words to close out this important forum, now in its eighth year. I am disappointed I couldn't be with you in person. But I am glad to have this opportunity to say why I believe your discussion these past two days is so important to the goal of promoting a healthy economy that works for everyone.
Canadian Securities Regulators Adopt Business Conduct Rule For Derivatives Dealers And Advisers

Date 28/09/2023

The securities regulatory authorities of Alberta, Saskatchewan, Manitoba, Ontario, Quebec, New Brunswick, Nova Scotia, Prince Edward Island, Newfoundland and Labrador, Nunavut, Northwest Territories and Yukon today adopted a final rule that sets out a comprehensive regime for regulating the business conduct of dealers and advisers in the over-the-counter (OTC) derivatives market.
The CFTC And California Department Of Financial Protection & Innovation Charge Los Angeles Area Precious Metals Dealer In $21 Million Fraudulent Scheme - Majority Of The Funds Stolen Came From Victims’ Tax-Deferred Retirement Accounts

Date 28/09/2023

The Commodity Futures Trading Commission and the California Department of Financial Protection & Innovation (DFPI) today announced a joint civil enforcement action in the U.S. District Court for the Central District of California against precious metals dealer Regal Assets LLC, its owner and CEO Tyler G. Gallagher, and its former President Leah Donoso, charging them with misappropriating more than $21 million in a nationwide fraudulent scheme.
TMX Group Limited Announces Release Date For Q3 2023 Financial Results And Analyst Conference Call

Date 28/09/2023

TMX Group Limited will announce its financial results for the third quarter ended September 30, 2023 in the evening of Monday, October 30, 2023. An analyst conference call to review the results will be held on Tuesday, October 31, 2023 at 8:00 a.m. ET.
SEC Charges Former Pareteum Executives With Accounting And Disclosure Fraud

Date 28/09/2023

The Securities and Exchange Commission today announced charges against the former Chief Financial Officer, Edward O’Donnell, and the former Chief Commercial Officer, Victor Bozzo, of New York-based telecommunications company Pareteum Corp. for engaging in fraudulent revenue recognition practices. The SEC also announced settled charges against Pareteum’s former Controller, Stanley Stefanski, for his role in the scheme. Pareteum previously settled to accounting and disclosure fraud charges filed by the SEC in 2021 and filed for bankruptcy in 2022.