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41–50 of 252 search results for SEC

RBA Glossary definition for SEC

SEC – Securities and Exchange Commission

Standard 14: General Business Risk | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability Standards for Central…

9 Mar 2023

In the event additional liquidity is required, CME Group maintains a universal shelf registration statement, approved by the Board, with the SEC.

https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-14.html

Assessment and Recommendations | Report on the Australian OTC Derivatives Market – October 2012

9 Mar 2023

Report on the Australian OTC Derivatives Market 6. Assessment and Recommendations. Australian Prudential Regulation Authority. Australian Securities and Investments Commission. Reserve Bank of Australia. October 2012. Download the complete Report

https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/otc-deriviatives/reports/201210-otc-der-mkt-rep-au/assessment-and-recommendations.html

Standard 2: Governance | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability Standards for Central Counterparties

9 Mar 2023

The CCO conducts annual regulatory self-assessments against: CFTC regulations and the DCO Core Principles; SEC regulations; Federal Reserve Board regulations; and the Principles. ... This assessment is wideranging and examines compliance with: CFTC

https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-2.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.

https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-3.html

Standard 17: Access and Participation Requirements | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability…

9 Mar 2023

If CFTC or SEC capital requirements for a clearing participant exceed CME's requirements, CME would hold the clearing participant to the higher requirement.

https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-17.html