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Enforcement Trends: CFTC Fines Bank of Tokyo for Spoofing but Rewards Bank for Cooperation
On Aug. 7, the CFTC announced a settlement with The Bank of Tokyo-Mitsubishi UFJ for engaging in "multiple acts of spoofing" in interest rate futures listed on the Chicago Mercantile Exchange and the Chicago Board of Trade.
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Commodity Exposure with an Indian Flavor
Multi Commodity Exchange of India, the country's top trading venue for commodity futures, announced an agreement in July with Thomson Reuters to launch co-branded commodity indices.
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Vela, Vidi, Vici
Vela Trading Technologies is on the move. In July, the New York trading and market technology firm, which was formerly known as SR Labs, announced its second acquisition in two months.
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Progress Report
On July 27, the International Organization of Securities Commissions published a “thematic review” of the progress being made in various countries in the adoption of IOSCO’s principles for the protection of client assets.
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System Safeguards
On July 5, four international regulatory bodies issued a set of policy documents aimed at strengthening the oversight and supervision of central counterparties and protecting financial systems from a potential default.
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People - September 2017
The French government appointed Robert Ophèle, a career central bank official, as chairman of Autorité des Marchés Financiers.
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Capital Calculations
On Aug. 14, the Federal Reserve, the Office of the Comptroller of the Currency and the Federal Deposit Insurance Corporation jointly issued guidance regarding the regulatory capital treatment of variation margin on cleared derivatives.
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Better Data
The Commodity Futures Trading Commission's Division of Market Oversight on July 10 launched a comprehensive review of its swap data reporting regulations and invited input from entities involved in swaps reporting.
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FIA Publishes MiFID II Brief for U.S. FCMs
FIA has created a brief to help members understand how the Markets in Financial Instruments Directive II and the associated Markets in Financial Instruments Regulation may impact U.S. futures commission merchants.
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Collateral Direct
LCH announced on Aug. 14 that it has introduced a new type of client account within its SwapClear service.
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