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Asset Management
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13/12/2011 - SEC - Joint Statement on Regulation of OTC Derivatives Markets - SEC
Washington, D.C., Dec. 9, 2011 — The Securities and Exchange Commission today released the following joint statement with other regulators:
Leaders and senior representatives of the authorities responsible for regulation of the over-the-counter (OTC) derivatives markets in Canada, the European Union, Hong Kong, Japan, Singapore, and the United States met yesterday in Paris.
The meeting included Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA); Jonathan Faull, Director General for Internal Market and Services at the European Commission; Ashley Alder, Chief Executive Officer of the Hong Kong Securities and Futures Commission; Masamichi Kono, Vice-Commissioner of the Japan Financial Services Agency; Teo Swee Lian, Deputy Managing Director (Financial Supervision) of the Monetary Authority of Singapore; Mary Condon, Vice-Chair of the Ontario Securities Commission; Louis Morisset, Superintendent of Securities Markets at l’Autorité des Marchés Financiers du Québec; Gary Gensler, Chairman of the United States Commodity Futures Trading Commission; and Mary Schapiro, Chairman of the United States Securities and Exchange Commission.
Since mid-2011, the authorities have engaged in a series of bilateral technical dialogues on OTC derivatives regulation. The meeting, held at ESMA headquarters in Paris, is the first time the authorities have met as a group to discuss their implementation efforts.
In the meeting, the authorities addressed the cross-border issues related to the implementation of new legislation and rules to govern the OTC derivatives markets in their respective jurisdictions.
At the conclusion of the meeting, the authorities agreed to continue bilateral regulatory dialogues and to meet as a group again in early 2012.
http://www.sec.gov/news/press/2011/2011-260.htm |
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23/11/2011 - DB research : OTC derivatives market: Update on current regulatory initiatives -14/11/2011 - DB
http://www.dbresearch.de/PROD/DBR_INTERNET_EN-PROD/PROD0000000000280806/OTC+derivatives+market%3A+Update+on+current+regulatory+initiatives.pdf;jsessionid=B5B7C0C3B7B38D8ECD319C43AC7E393D.srv11-dbr-de |
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22/11/2011 - ESMA's technical advice to the European Commission on possible implementing measures of the Alternative Investment Fund Managers Directive - Final report - ESMA
http://www.afg.asso.fr/index.php?option=com_docman&task=doc_download&gid=3012&lang=en
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26/10/2011 - Commission européenne - Rapport : "Making OTC Derivatives Safe A Fresh Look" - EC
Document publié lors de la Conférence sur le paysage du post marché européen : la marche en avant le 24/10/2011
Document
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26/10/2011 - IOSCO - Public Comments Received by the Technical Committee to the Consultation Report - OTC Derivatives Data Reporting and Aggregation Requirements - IOSCO
http://www.iosco.org/library/pubdocs/pdf/IOSCOPD363.pdf |
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21/10/2011 - MIFID II: Draft and Impact assessment - EC
Draft MIFID II
Impact Assessment |
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04/02/2011 - "Dark Liquidity" : Best Execution duties and waivers to transparency obligations - CPF
Télécharger l'article de Sylvie Frontezak, Natixis
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03/02/2011 - Legislative Observatory - Regulation of trading in financial instruments - "dark pools" etc. - EP
Follow on line MIFID revision |
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15/10/2010 - IOSCO forms Task Force on OTC Derivatives Regulation - IOSCO
The Technical Committee of the International Organization of Securities Commissions (IOSCO) has formed a Task Force on OTC Derivatives Regulation (Task Force) in order to coordinate securities and futures regulators' efforts to work together in the development of supervisory and oversight structures related to over-the-counter (OTC) derivatives markets. |
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15/09/2010 - European Commission - Regulation proposal on derivatives - EC
As part of its ongoing work in creating a sounder financial system, the European Commission has tabled today a proposal for a regulation aimed at bringing more safety and more transparency to the over-the-counter (OTC) derivatives market. In its draft regulation, the Commission proposes that information on OTC derivative contracts should be reported to trade repositories and be accessible to supervisory authorities. |
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06/09/2010 - Feedback statement - CESR Technical Advice to the European Commission in the context of the MiFID Review Investor Protection and Intermediaries - CESR
Read Technical Advice on CESR website. |
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01/09/2010 - Thomas C Baxter, Jr: Too big to fail expectations and impact of extraordinary government intervention and the role of systemic risk in the financial crisis - BIS
Read the speech of Thomas C Baxter, Executive Vice President and General Counsel of the Federal Reserve Bank of New York. |
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20/07/2010 - CESR - Publication of several consultations papers on KID - CESR
Consultations papers on Guidelines on the selection and presentation of performance scenarios in the KID, for the transition from the Simplified Prospectus to the KID, on a guide to clear language and layout for the KID and on its the Template. |
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19/07/2010 - CESR launches two consultations on OTC derivatives, and announces a public hearing on 11 August - CESR
Two consultation papers are published today:
Standardisation and exchange trading of OTC derivatives
Transaction Reporting on OTC Derivatives and Extension of the Scope of Transaction Reporting Obligations |
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02/07/2010 - CESR - Guidelines on KID - CESR
Guidelines - Methodology for the calculation of the synthetic risk and reward indicator in the Key Investor Information Document (Ref: CESR/10-673)
Guidelines - Methodology for calculation of the ongoing charges figure in the Key Investor Information Document (Ref: CESR/10-674) |
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08/06/2010 - CESR publishes responses to three consultations on the MiFID review - CESR
CESR publishes today the responses to the consultations on Investor protection and intermediaries, transaction reporting and secondary markets. To view the responses, please see CESR website |
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18/05/2010 - Hedge funds: MEPs call for less speculation and more transparency - PE
The EP Economic and Monetary Affairs Committee on Monday adopted its position on the draft EU law regulating managers of alternative investment funds, including hedge funds. MEPs voted for new ways to deal with managers and funds located outside the EU, a proportionality system to regulate less risky funds more lightly, and rules on remuneration policies and short selling. They also made improvements to the directive's transparency and risk reduction rules. |
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12/05/2010 - BIS - Considerations for trade repositories in OTC derivatives markets - consultative report - BIS
This report, prepared by a working group (WG) jointly established in June 2009 by the Committee on Payment and Settlement Systems (CPSS) and the Technical Committee of the International Organization of Securities Commissions (IOSCO), presents a set of considerations for trade repositories (TRs) in over-the-counter (OTC) derivatives markets. |
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12/05/2010 - IOSCO and CPSS consult on policy guidance for central counterparties and trade repositories in the OTC derivatives market - IOSCO
The Committee on Payment and Settlement Systems (CPSS) and the Technical Committee of the International Organization of Securities Commissions (IOSCO) have today issued two consultative reports containing proposals aimed at strengthening the OTC derivatives market.
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29/04/2010 - Regulatory Observatory - OTC market regulation - EP
View the European Regulatory Observatory website on Derivatives markets regulation |
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21/04/2010 - "Are Hedge-Fund UCITS the Cure-All?" - Samuel SENDER (Edhec Risk Institute) Thesis - EDHEC
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21/04/2010 - Speech - Jean Pierre JOUYET, Chairman, AMF, on Private Equity - AFIC
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15/04/2010 - Basel Committee - Sound practices for backtesting counterparty credit risk models - BIS
This supervisory guidance reinforces and explains some of the proposed changes to the Basel II framework included in the consultative document Strengthening the resilience of the banking sector, which was issued for comment in December 2009. Today's sound practices for backtesting paper provides additional information on supervisory expectations as well as recommendations to strengthen the backtesting of internal assessments of counterparty credit risk exposures. |
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13/04/2010 - CESR launches 3 consultation on its advice on MIFID - CESR
The three themes are : transaction reporting, secondary markets, protection of investors and intermediaries. Comments should be sent by May, 31st 2010. |
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13/04/2010 - IMF's Global Financial Stability Report : Systemic Risk and the Redesign of Financial Regulation - IMF
The recent crisis has triggered a flood of regulatory reform proposals to deal with systemic risksthe potential for distress in one institution to adversely affect others. However, details on many of these proposals are lacking. |
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07/04/2010 - CESR consults on micro-structural issues of the European equity markets - CESR
CESR publised today a call for evidence on micro-structural issues of the European equity markets.
This call for evidence shall assess the impact of some of the latest developments in European equity markets and may also inform aspects of this year's MiFID review. |
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30/03/2010 - Good Practice Principles on Supervisory Colleges - consultative paper issued by Basel Committee - BIS
The Basel Committee on Banking Supervision today issued for consultation its paper on Good Practice Principles on Supervisory Colleges (.pdf). |
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19/03/2010 - Overcoming too-big-to-fail: A Regulatory Framework to Limit Moral Hazard and Free Riding in the Financial Sector - CEPS
Download the new CEPS book prepared by a joint CEPS-Assonime task force and which outline a comprehensive framework from for regulating cross boarder banking groupe. Read the full document
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