Showing posts with label DODD-FRANK. Show all posts
Showing posts with label DODD-FRANK. Show all posts
Friday, October 2, 2015

CFTC ANNOUNCES DEUTSCHE BANK AG ORDERED TO PAY $2.5 MILLION PENALTY IN CASE INVOLVING SWAPS REPORTING VIOLATIONS AND SUPERVISION FAILURES

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  September 30, 2015 CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary ...
Saturday, July 4, 2015

SEC PROPOSES RULES ON EXECUTIVE COMPENSATION CLAWBACKS

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  SEC Proposes Rules Requiring Companies to Adopt Clawback Policies on Executive Compensati...
Saturday, June 6, 2015

CFTC CHAIRMAN MASSAD'S REMARKS BEFORE GLOBAL EXCHANGE AND BROKERAGE CONFERENCE

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Remarks of Chairman Timothy Massad before the Global Exchange and Brokerage Conference ...
Tuesday, May 19, 2015

CFTC COMMISSIONER BOWEN'S SPEECH BEFORE 2015 COMPLIANCE CONFERENCE

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Commissioner Bowen Speech before the Managed Funds Association, 2015 Compliance Confere...
Thursday, March 19, 2015

FDIC CHAIRMAN GRUENBERG'S STATEMENT BEFORE COMMITTEE ON BANKING, HOUSING AND URBAN AFFAIRS

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FROM:  FEDERAL DEPOSIT INSURANCE CORPORATION  Speeches & Testimony Statement of Martin J. Gruenberg, Chairman, Federal Deposit Insu...
Thursday, March 12, 2015

CFTC CHAIRMAN MASSAD'S ADDRESS TO FUTURES INDUSTRY ASSOCIATION BOCA CONFERENCE

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION Keynote Address of Chairman Timothy G. Massad before the Futures Industry Association Boca...
Tuesday, January 27, 2015

CFTC COMMISSIONER BOWEN ON REGULATION OF FOREIGN EXCHANGE DERIVATIVE REGULATION

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  Statement of U.S. Commodity Futures Trading Commissioner Sharon Bowen Regarding Recent ...
Thursday, January 15, 2015

SEC ADOPTS NEW RULES REGARDING SWAP DATA REPOSITORIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  The Securities and Exchange Commission today adopted two new sets of rules that will requi...