Search: CFTC
RBA Glossary definition for CFTC
CFTC – Commodity Futures Trading Commission
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Executive Summary | Assessment of Chicago Mercantile Exchange Inc.
9 Mar 2023
CME is incorporated in the United States, and is primarily regulated by the Commodity Futures Trading Commission (CFTC) under US legislation.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2019/executive-summary.html
Standard 3: Framework for the Comprehensive Management of Risks | Assessment of Chicago Mercantile Exchange Inc. against the Financial…
9 Mar 2023
If CFTC or SEC capital requirements for a clearing participant exceed CME's requirements, CME hold the clearing participant to the higher requirement. ... CME has finalised its RWP but has been granted an extension from the CFTC until December 2014 in
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-3.html
Standard 12: Participant Default Rules and Procedures | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability…
9 Mar 2023
Following a default, CME would notify the CFTC and relevant partner exchanges or clearinghouses of the default. ... In the event that a clearing participant was declared to be in default, CME would inform all members of the DMC, all non-defaulting IRS
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-12.html
Standard 15: Custody and Investment Risks | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability Standards for…
9 Mar 2023
Customers' funds must be invested in the categories set out in CFTC Regulation 1.25.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-15.html
Analysis and Further Considerations | OTC Derivatives Market Reform Considerations – March 2012
9 Mar 2023
The CFTC issued final rules under the Dodd-Frank Act requiring Futures Commission Merchants (FCM, or clearing members) and Derivatives Clearing Organizations (DCO, or CCPs) to offer the LSOC account structure
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/otc-deriviatives/reports/201203-otc-derivatives-market-reform-considerations/analysis-considerations.html
Appendix C: Detailed Assessment of LCH Limited's SwapClear Service against the Financial Stability Standards | Assessment of LCH Limited's…
9 Mar 2023
It also has a US CCP subsidiary, LCH LLC, which holds a CFTC DCO licence. ... SwapClear service (as well as the ForexClear and Listed Rates services) are directly regulated by the CFTC.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/lch/2018/appendix-c.html
Self-assessment of the Australian Securities and Investments Commission and Reserve Bank of Australia – Clearing and Settlement Facilities
9 Mar 2023
In June 2014, ASIC and the Bank concluded a joint MOU with the CFTC, which governs cooperation and information sharing arrangements for both US and Australian CCPs.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/principles/assessment-against-responsibilities/responsibilities-of-authorities/2014/summary-ratings-actions.html
Standard 1: Legal basis | Appendix C1. Financial Stability Standards for Central Counterparties | Assessment of ASX Clearing and Settlement …
9 Mar 2023
Commission (CFTC) in the US.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/2016-2017/asx-central-counterparties/standard-01.html
Standard 13: Segregation and portability | Appendix C1. Financial Stability Standards for Central Counterparties | Assessment of ASX…
9 Mar 2023
This approach is similar to the ‘Legally Segregated Operationally Commingled’ segregation model mandated in the US by the CFTC.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/2016-2017/asx-central-counterparties/standard-13.html
Standard 1: Legal basis | Appendix C1. Financial Stability Standards for Central Counterparties | Assessment of ASX Clearing and Settlement …
9 Mar 2023
by the Commodity Futures Trading Commission (CFTC) in the US.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/2017-2018/asx-central-counterparties/standard-01.html