Compliance

CFTC issues comparability determinations for six overseas jurisdictions

By Press Release | December 21, 2013

Australia, Canada, the E.U., Hong Kong, Japan and Switzerland are deemed comparable with respect to aspects of Dodd-Frank.

JPMorgan said to consider chat-room ban amid regulatory scrutiny

By Dawn Kopecki, Bloomberg | November 11, 2013

JPMorgan Chase & Co., the largest U.S. bank by assets, is weighing whether to ban traders from using electronic chat rooms to communicate with peers at other firms as the forums draw scrutiny from global regulators.

NFA fines Interactive Brokers $300,000 in settlement

By Press Release | July 8, 2013

The Connecticut firm allegedly violated NFA rules on compliance and financial requirements.

SEC’s Canellos says enforcers shifting to Dodd-Frank compliance

By Joshua Gallu | April 26, 2013

George Canellos, co-chief of the U.S. Securities and Exchange Commission’s enforcement division, said investigators are turning their focus to enforcing new regulations from the 2010 Dodd-Frank Act.

CFTC clarifies CTP/CPO compliance requirements

By Press Release | August 14, 2012

The CFTC says the responses are intended to provide additional guidance to affected market participants.

HSBC sets aside $2 billion in apology for compliance lapses

By Howard Mustoe and Gavin Finch, Bloomberg | July 30, 2012

HSBC Holdings Plc, the British bank accused of helping drug lords in Mexico to launder money, apologized to investors for compliance failings and set aside $2 billion more to cover the costs of fines and redress.

ISDA to partner with Markit for system to aid compliance

By Paul Armstrong, Bloomberg | June 7, 2012

The International Swaps & Derivatives Association said it will partner with Markit Group Ltd. to develop a system enabling counterparties to amend over-the- counter derivatives documentation in order to help compliance with Dodd-Frank regulations.

CFTC takes up swap compliance; rulemaking optimism waning

By Michael J. McFarlin | February 23, 2012

The CFTC met to discuss rules related to swaps compliance and swap block trades in the 24th meeting for Dodd-Frank rules

Social media considerations for financial firms

By Bart Mallon | August 1, 2011

Social media is being integrated into business. Here’s what traders need to know about this new medium

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