Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Tag Archives: MOU

SEC and CFTC Approve New MOU

Posted in Broker-Dealer
On June 28, the Securities and Exchange Commission and Commodity Futures Trading Commission announced the approval of a new Memorandum of Understanding (MOU) aimed at ensuring continued information sharing between the agencies. The MOU updates and enhances a 2008 MOU between the agencies by adding various elements that reflect current market conditions. For example, the… Continue Reading

CFTC Enters Into Information Sharing MOU With an Additional Canadian Province

Posted in CFTC
On November 1, Timothy Massad, chairman of the Commodity Futures Trading Commission, John O’Brien, Superintendent of Securities for Newfoundland and Labrador, and Patricia Hearn, Deputy Minister of Intergovernmental Affairs, signed a counterpart to a memorandum of understanding (MOU) designed to promote the cooperation and exchange of information with regard to entities operating on a cross-border… Continue Reading

CFTC Signs MOU With Two Mexican Authorities Regarding Cross-Border Supervision

Posted in CFTC
On August 31, the Commodity Futures Trading Commission Chairman Timothy Massad signed a Memorandum of Understanding (MOU) with the Comisión Nacional Bancaria y de Valores and the Banco de México. The MOU creates a plan for cooperation and the exchange of information to supervise central counterparties, trade repositories and certain other persons, operating on a… Continue Reading

CFTC Enters Into Information Sharing MOU With Four Additional Canadian Provinces

Posted in CFTC
On July 28, the Commodity Futures Trading Commission and four Canadian provinces or territories signed counterparts to a memorandum of understanding (MOU) designed to promote the cooperation and exchange of information with regard to entities operating on a cross-border basis between the United States and Canada. The Government of the Northwest Territories, the Nunavut Department… Continue Reading

CFTC and German Regulators Sign Memorandum of Understanding

Posted in CFTC
The Commodity Futures Trading Commission, German regulators Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank (Bundesbank) have entered into a memorandum of understanding (MOU) related to the supervision of clearing organizations that operate on a cross-border basis in both the United States and Germany. The MOU addresses various circumstances in which the CFTC intends to cooperate… Continue Reading

CFTC and Korean Regulators Sign MOU Regarding Cross-Border Clearing Organizations

Posted in CFTC
The Commodity Futures Trading Commission has signed a memorandum of understanding (MOU) with two Korean regulators, the Korean Financial Services Commission and the Korean Financial Supervisory Service to enhance the oversight of clearing organizations operating in both the United States and the Republic of Korea. The MOU emphasizes the importance of working collaboratively as clearing… Continue Reading