WebFiling Requirements. NFA Compliance Rule 2-49 requires swap dealers (SD) to promptly submit to NFA upon request any reports, documents or notices, including those required … Web11 apr. 2024 · USA April 11 2024. A swap dealer settled CFTC charges relating to a failure to disclose the pre-trade-mid-market-mark ("PTMMM") of equity index swaps. As outlined in the Order, the CFTC also found ...
MANAGING THE RISK: AN OVERVIEW OF CFTC SWAP DEALER …
WebJob. Job: Compliance. Primary Location: Europe & Americas-United States-New York. Schedule: Full-time. Employee Status: Permanent. Posting Date: 28/Jun/2024, 8:11:05 AM. Unposting Date: Ongoing. We are seeking an additional team member to join the global Swap Dealer Compliance team and focus specifically on the U.S. CFTC Swap Dealer … Web(HedgeCo.Net) The Commodity Futures Trading Commission has issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC (Goldman) for violations of the CFTC’s Business Conduct Standards applicable to swap dealers. Specifically, the CFTC found that Goldman failed to disclose dozens of pre-trade-mid … inaction fautive
CFTC Issues External Business Conduct Standards for Swap Dealers
Web(c) Each affiliate of an insured depository institution described in section 716(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111–203 section 716(c), … WebVandaag · 23012 Federal Register/Vol. 88, No. 72/Friday, April 14, 2024/Notices 3 17 CFR 145.9. 4 These estimates represent the aggregate burden for all data associated with the Swap Recordkeeping Requirements in the collection, namely Swap Recordkeeping (Regulation 1.35), Swap Confirmations (Regulation 1.33), and Utility Special Entities … Web18 nov. 2016 · 18 November 2016. By MarketVoice Staff. The Commodity Futures Trading Commission approved an order on Oct. 13 to extend the current threshold for requiring … inception wiktionary