Category:Risk Management
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Pages related to Risk Management.
Pages in category "Risk Management"
The following 69 pages are in this category, out of 69 total.
C
- CFTC Final Rule: Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
- CFTC Final Rule: Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
- CFTC Final Rule: Duties for Swap Dealers and Major Swap Participants
- CFTC Final Rule: Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations
- CFTC Final Rule: Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
- CFTC Interim Final Rule: Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants
- CFTC Open Meeting, April 18, 2012
- CFTC Open Meeting, March 20, 2012
- CFTC Proposed Rule: Risk Management Requirements for Derivatives Clearing Organizations
- CFTC Rule Proposal: Clearing Member Risk Management
- Customer Protection Regulation
- Customer Protection Regulation - Comment Letter - AICPA - February 11, 2013
- Customer Protection Regulation - Comment Letter - American Farm Bureau Federation - February 15, 2013
- Customer Protection Regulation - Comment Letter - BlackRock - February 15, 2013
- Customer Protection Regulation - Comment Letter - CFA Institute - February 13, 2013
- Customer Protection Regulation - Comment Letter - CME Group - February 15, 2013
- Customer Protection Regulation - Comment Letter - Commercial Energy Working Group - February 13, 2013
- Customer Protection Regulation - Comment Letter - Commodity Customer Coalition - February 15, 2013
- Customer Protection Regulation - Comment Letter - Forex Capital Markets - December 14, 2012
- Customer Protection Regulation - Comment Letter - Futures Industry Association - February 15, 2013
- Customer Protection Regulation - Comment Letter - INTL FCStone - February 15, 2013
- Customer Protection Regulation - Comment Letter - Investment Company Institute - January 14, 2013
- Customer Protection Regulation - Comment Letter - LCH.Clearnet - January 25, 2013
- Customer Protection Regulation - Comment Letter - Managed Funds Association - February 15, 2013
- Customer Protection Regulation - Comment Letter - Newedge - February 15, 2013
- Customer Protection Regulation - Comment Letter - R.J. O'Brien - February 15, 2013 - February 15, 2013
- Customer Protection Regulation - Comment Letter - Rosenthal Collins Group - February 12, 2013
- Customer Protection Regulation - Comment Letter - State Street - January 16, 2013
- Customer Protection Regulation - Comment Letter - TD Ameritrade - February 15, 2013
- Customer Protection Regulation - Comment Letters
- Customer Protection Regulation - Frequently Asked Questions - FIA, November 2014
- Customer Protection Regulation - Study - Analysis of National Futures Association Audits of Peregrine Financial Group, January 29, 2013
- Customer Protection Regulation - Study - Customer Asset Protection Insurance for U.S. Futures Market Customers, November 15, 2013
D
F
- Fact Sheet: Proposal to Mitigate Potential Conflicts of Interest in the Operation of Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities
- Federal Register: Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants
- Federal Register: Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest
- Federal Reserve Final Rule: Definitions of “Predominantly Engaged In Financial Activities” and “Significant” Nonbank Financial Company and Bank Holding Company
- Financial Stability Oversight Council
- Financial Stability Regulation
- FSOC - Hearing Procedures - May 22, 2012
- FSOC - White Paper - Macroeconomic Effects of Risk Retention Requirements - January 2011
- FSOC - White Paper - Proposed Recommendations Regarding Money Market Mutual Fund Reform - November 2012
- FSOC - White Paper - Report to the Congress on Secured Creditor Haircuts - July 2011
N
- NFA Proposed Interpretive Guidance: Internal Controls for Futures Commission Merchants, May 2013
- NFA Proposed Rule: Protection of Customer Funds; Amendments to NFA Financial Requirements Section 4, August 2012
- NFA Request for Comments: CPO/CTA Capital Requirement and Customer Protection Measures, January 2014
S
- SEC Final Rule: Clearing Agency Standards
- Swap Dealers and Major Swap Participants Regulation - Comment Letter - Better Markets - January 24, 2011
- Swap Dealers and Major Swap Participants Regulation - Comment Letter - Managed Funds Association - January 18, 2011
- Swap Dealers and Major Swap Participants Regulation - Comment Letter - MetLife - January 24, 2011
- Swap Dealers and Major Swap Participants Regulation - Comment Letter - Securities Industry and Financial Markets Association - January 24, 2011
- Swap Dealers and Major Swap Participants Regulation - Comment Letter - Working Group of Commercial Energy Firms - January 24, 2011
- Swap Dealers and Major Swap Participants Regulation - Duties - Comment Letters
- Swap Entities Regulation - Clearing Member Risk Management - Comment Letters
- Swap Entities Regulation - Comment Letter - Citadel - September 29, 2011
- Swap Entities Regulation - Comment Letter - CME Group - September 29, 2011
- Swap Entities Regulation - Comment Letter - FHLBanks - September 29, 2011
- Swap Entities Regulation - Comment Letter - Freddie Mac - September 29, 2011
- Swap Entities Regulation - Comment Letter - Futures Industry Association - September 29, 2011
- Swap Entities Regulation - Comment Letter - Intercontinental Exchange - September 29, 2011
- Swap Entities Regulation - Comment Letter - ISDA - September 29, 2011
- Swap Entities Regulation - Comment Letter - Managed Funds Association - September 29, 2011
- Swap Entities Regulation - Comment Letter - Minneapolis Grain Exchange - September 29, 2011
- Swap Entities Regulation - Comment Letters
