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Cargill Fined $10M for Alleged Swaps Trading Violations

November 10, 2017 by Eugene Grygo

Cargill Fined $10M for Alleged Swaps Trading Violations

The CFTC reports that it has simultaneously filed and settled charges against Cargill, alleging that the Minnesota-based agricultural, commodity, and financial services giant sent swaps counterparties and a swaps data repository (SDR) “inaccurate marks” that obscured “up to ninety percent of Cargill’s mark-up.” The settlement order means that Cargill, Inc. will pay a $10 Million… Read More >>

Filed Under: Derivatives Operations, Collateral & Margin Management, Derivatives Processing, Securities Operations, Clearing, Data Management, Middle-Office, Risk Management, General Interest, Governance, Back-Office, AML/Fraud/Financial Crime, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: agricultural, Cargill, CFTC, commodity, customer reporting, financial services, risk management, SDR, settlement, swaps counterparties, swaps data repository

CFTC Issues Final Rule for Cleared Swaps Reporting

June 22, 2016 by Louis Chunovic

The CFTC reports that it has approved a final rule meant to bring “additional clarity” to existing cleared swaps reporting regulations and procedures. The rule codifies reporting obligations for counterparties and registered entities and improves the “efficiency of data collection and maintenance associated with the reporting,” the CFTC says. The commission’s own detailed analysis of… Read More >>

Filed Under: Derivatives Operations, Clearing, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: CFTC, Chairman Timothy Massad, CME Group, data quality, derivatives, derivatives clearing, DTCC, Eurex Exchange, isda, LCH Group, Markit, SDR, swap data repository, swaps, swaps reporting

DTCC Takes Aim at the Roadblocks to Data Transparency

July 30, 2015 by Ryan Boysen

Increasing the transparency of the global financial system was one of the major goals of the G20 framework that followed the Great Recession and led to major financial services reform legislation like the U.S’s Dodd-Frank Wall Street and Reform Act. Even though there are many bright spots in this area — some industry observers see… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Data Management, Operational Risk, Ops Automation, Risk Management, Settlement, FinTech Trends, Back-Office, Standards, Regulation & Compliance, Derivatives, Regulatory Compliance Tagged With: Dodd-Frank, DTCC, Larry Thompson, SDR, transparency

State Street and OTC Processing

April 10, 2012 by Eugene Grygo

State Street is spreading the word about its end-to-end package for processing over-the-counter (OTC) derivatives—which includes middle and back office services—just as OTC reforms are likely to cause buy-side firms to choose between a best of breed or an integrated suite approach for the operational tapestry to come for executed and cleared OTC instruments. As… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side Tagged With: CCP, Celent, Needham Consulting, OTC derivatives, SDR, SEF, State Street

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