Tag Archives: Regulators
Disputed derivative transactions – Santander and Pourtuguese Rail Operator
I happened to read today a news item on disputed derivatives transactions.
It is reported therein, the dealers settled a crop of disputed derivatives trades with Portuguese state owned entities last year with one exception – Santander...
Global FX Scandal
The thought for this post was triggered by the Foreign Exchange Committee sponsored by the Federal Reserve Bank of New York.
The Committee has recently observed in its 2014 March 26th meeting that order handling, hedging, disclosure policies...
Packaged trades – The renewed focus
Packaged trades are very much in news these days. One of our readers wanted to know what these trades are and why the focus on them now. Hence this write up
Packaged trades are products that provide flexibility to trade transactions. They are...
LIBOR Revisited
Do you know?
When LIBOR was born?
Minos Zombanakis, born 88 years ago on a Greek island, remembers well the birth of the interest rate benchmark. “I was, more or less, if you excuse the lack of modesty, the one who started the whole thing,”...
Hedge Fund Industry – a stock taking
Internationally many regulations impacting operations of Hedge Fund industry cover the following major areas
– Advertising
– Broker Dealer Issues
– Principal Underwriter...
Trade Repositories under European Market Infrastructure Regulation
Trade Repositories under European Markets Infrastructure Regulation will shortly become a reality once the European Securities and Markets Authority approves the registration application made by multiple trade repository aspirants. European...
Banking scenario and regulatory impacts in UK
I was trying to look at the prevailing banking scenario in the United Kingdom. I was surprised to note that the banks in UK have been undergoing considerable changes and challenges necessitated by the environment. I felt that under these circumstances,...
Counterparty risk management needs a closer relook
Counterparty risk is the risk that a counterparty in a transaction will default prior to the expiration of the contract and will be unable to make agreed contractual payments
Experience has shown, normally banking and financial crises have their...
Pay and Bonus – Investment banking and evolving regulations
These times are very difficult times for our investment banks.
The markets are not moving and most of the time they are hostile. There is no growth in major economies and they make these dull markets. Making money in such markets is very difficult.
The...
DFA and Hedge fund regulation
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act makes numerous changes to the registration and reporting and recordkeeping requirements of the Investment Advisers Act of 1940. Among these is the requirement that advisers...
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