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Timestamp: 2019-04-21 06:37:56
Document Index: 311994794

Matched Legal Cases: ['§\u2009303', '§\u200923', 'art 150', '§\u2009150', '§ 39', '§\u200939']

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12 USC 5472 - Common framework for designated clearing entity risk management
The Commodity Futures Trading Commission and the Commission shall coordinate with the Board of Governors to jointly develop risk management supervision programs for designated clearing entities. Not later than 1 year after July 21, 2010, the Commodity Futures Trading Commission, the Commission, and ...
12 USC 2206a - Authority of Farm Credit Banks and direct lender associations to participate in loans to similar entities for risk management purposes
(a) Definitions As used in this section: (1) Participate and participation The terms “participate” and “participation” shall have the meaning provided in section 2122(11)(B)(iii) of this title. (2) Similar entity The term “similar entity” means a person that- (A) is not eligible for a loan from the ...
Dodd-Frank - Sec. 813. Common framework for designated clearing entity risk management
The Commodity Futures Trading Commission and the Commission shall coordinate with the Board of Governors to jointly develop risk management supervision programs for designated clearing entities. Not later than 1 year after the date of enactment of this Act, the Commodity Futures Trading Commission, ...
[Adopted Effective September 21, 2007. Effective dates of amendments: December 17, 2009.] (a) No Member may act as a Forex Dealer Member (as defined in Bylaw 306) unless it has demonstrated to NFA that the Member has adequate internal financial controls. The Forex Dealer Member must demonstrate ...
Rule 303.9: Risk management and controls requirements for Level 1 and Level 2 covered institutions. (PROPOSED)
An incentive-based compensation arrangement at a Level 1 or Level 2 covered institution will be considered to be compatible with effective risk management and controls for purposes of § 303.4(c)(2) only if such institution meets the following requirements. (a) A Level 1 or Level 2 covered ...
Compensation, Risk Management
CFTC Rule 23.102: Calculation of market risk exposure requirement and credit risk exposure requirement using internal models. (PROPOSED)
(a) A swap dealer may apply to the Commission, or to a registered futures association of which the swap dealer is a member, for approval to use internal models under terms and conditions required by the Commission and by these regulations, or under the terms and conditions required by the ...
CFTC Rule 23.103: Calculation of market risk exposure requirement and credit risk requirement when models are not approved. (PROPOSED)
(a) Non-model approach. A swap dealer that has not received approval from the Commission, or from a registered futures association of which the swap dealer is a member, to compute its market risk exposure requirement and/or credit risk exposure requirement pursuant to internal models under § 23.102 ...
Appendix A to Part 150: Guidance on Risk Management Exemptions for Commodity Derivative Contracts in Excluded Commodities (PROPOSED)
(1) This appendix provides non-exclusive interpretative guidance on risk management exemptions for commodity derivative contracts in excluded commodities permitted under the definition of bona fide hedging position in § 150.1. The rules of a designated contract market or swap execution facility ...
Position Limits, Risk Management, Hedging
CFTC Rule 39.36: Risk management for systemically important derivatives clearing organizations and subpart C derivatives clearing organizations.
(a) Stress tests of financial resources. In addition to conducting stress tests pursuant to § 39.13(h)(3), each systemically important derivatives clearing organization and subpart C derivatives clearing organization shall conduct stress tests of its financial resources in accordance with the ...
Risk Management, Stress Testing
CFTC Rule 39.18: System safeguards.
(a) Definitions. For purposes of this section and § 39.34: Controls mean the safeguards or countermeasures employed by the derivatives clearing organization in order to protect the reliability, security, or capacity of its automated systems or the confidentiality, integrity, or availability of its ...
CFTC Rule 38.1050: Core Principle 20.
Each designated contract market shall: (a) Establish and maintain a program of risk analysis and oversight to identify and minimize sources of operational risk, through the development of appropriate controls and procedures, and the development of automated systems, that are reliable, secure, and ...
Business Continuity, Risk Management, Stress Testing
CFTC Rule 38.1051: General requirements.
(a) A designated contract market's program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following categories of risk analysis and oversight: (1) Enterprise risk management and governance. This category includes, but is not ...
CFTC Rule 38.604: Financial surveillance.
A designated contract market must monitor members' compliance with the designated contract market's minimum financial standards and, therefore, must routinely receive and promptly review financial and related information from its members, as well as continuously monitor the positions of ...
Capital, Risk Management, Regulatory Oversight
CFTC Rule 37.405: Risk controls for trading.
The swap execution facility shall establish and maintain risk control mechanisms to prevent and reduce the potential risk of market disruptions, including, but not limited to, market restrictions that pause or halt trading under market conditions prescribed by the swap execution facility. CFTC CFTC ...
CFTC Rule 37.1401: Requirements.
(a) A swap execution facility's program of risk analysis and oversight with respect to its operations and automated systems shall address each of the following categories of risk analysis and oversight: (1) Enterprise risk management and governance. This category includes, but is not limited ...
CFTC Rule 23.600: Risk Management Program for swap dealers and major swap participants.
(a) Definitions. For purposes of subpart J, the following terms shall be defined as provided. (1) Affiliate. This term means, with respect to any person, a person controlling, controlled by, or under common control with, such person. (2) Business trading unit. This term means any department, ...
CFTC Rule 23.601: Monitoring of position limits.
(a) Each swap dealer and major swap participant shall establish and enforce written policies and procedures that are reasonably designed to monitor for and prevent violations of applicable position limits established by the Commission, a designated contract market, or a swap execution facility, and ...
Position Limits, Supervision / Compliance, Risk Management
CFTC Rule 23.602: Diligent supervision.
(a) Supervision. Each swap dealer and major swap participant shall establish and maintain a system to supervise, and shall diligently supervise, all activities relating to its business performed by its partners, members, officers, employees, and agents (or persons occupying a similar status or ...
Supervision / Compliance, Risk Management
CFTC Rule 23.603: Business continuity and disaster recovery.
(a) Business continuity and disaster recovery plan required. Each swap dealer and major swap participant shall establish and maintain a written business continuity and disaster recovery plan that outlines the procedures to be followed in the event of an emergency or other disruption of its normal ...
CFTC Rule 23.604: Reserved
[Reserved] CFTC CFTC Rule 23.604 17 CFR 23.604 ...