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Tag Archives: regulation

Grasp Your Opportunities and Adapt – Tom Sexton Feature,MarketsWiki Education,MWEd,video

“Our markets here are the envy of the world because they are regulated in a very fair and orderly manner.” In this video from MarketsWiki Education’s World of Opportunity event in Chicago, Tom Sexton, president and CEO of the National Futures Association, discusses what opportunities lie in the regulatory arena. Sexton asks that when you look at all the different areas of finance, think about regulation and how important it is to not only the U.S. markets, but markets all around the world.

Trillions in Stock and Derivative Trades at Risk Over New EU Rules; LME chief plots evolution not revolution at metal exchange; Regulators’ Penalties Against Wall Street Are Down Sharply in 2017 John Lothian Newsletter,Newsletter

First Read Hits & Takes By John J. Lothian Gary Flagler has a new job. He is now Head of International Business Development, Derivatives consulting for Bolsa Mexicana de Valores, S.A.B. de C.V. (BMV), also known as Grupo BMV, a 122-year-old company and one of Mexico’s premier financial institutions, headquartered in Mexico City, Mexico. He will be working with Mexder and Asigna, Compensación y Liquidación F/30430 Fiso Bancomer SA, MexDer‘s local scale rating AAA–rated clearinghouse. Gary will give them the presence in the U.S. they greatly needed. ~JJL The latest Financial Data for FCMs from the CFTC is available. ~JJL…

The State of Today’s Markets: Issues and Opportunities – Larry Tabb Feature,MWEd,Video,video

“This industry is a meritocracy. If you can do a better job than the next guy, then you’ll get rewarded more than the next guy. That’s a good thing.” In this video from MarketsWiki Education’s World of Opportunity event in New York, Larry Tabb, founder and research chairman of the TABB Group, gives a comprehensive view of the state of markets today with an eye toward the future. Tabb covers everything from the dangers markets face when quantitative easing ends; the decrease in IPOs; the prospect of the regulatory pendulum swinging back to less regulation; and how difficult it will…

Time to Close the Asset Class Ban Loophole Blog,Commentary,Investing & Trading,Mwiki,ReformWiki,Regulation,Regulation & Enforcement

Corzine and his ilk Should be Banned Across All Asset Classes Note: A correction to this story has been posted here. The NFA and FINRA to recognize the bans of other regulators. With the recent news that former MF Global CEO Jon Corzine is attempting to make a comeback at age 70 as a hedge fund manager, it became clear there is a hole in our regulatory system that needs to be fixed. Corzine is banned for life by the CFTC from trading futures, yet he can operate in the securities and FX worlds managing other people’s money. It is…

How Do You Save the Capital Markets? Blog,Commentary,Exchanges, OTC & Clearing,Mwiki,Options,Politics,ReformWiki,Regulation,Regulation & Enforcement

Kennedy Looks to Lead Market Revamp Kevin Kennedy is my new hero. The senior vice president and head of equity options, on stage at the Options Industry Conference last week, spoke about taking the lead on a new initiative to change the existing financial and regulatory structure for financial markets. And he urged the other exchange executives from the other four major options markets to join him. In today’s political environment, it takes courage for someone to stand up and say they want to fix the financial markets so they stay the envy of world capital markets.  And there is…

Time To Revive Financial Innovation Feature

So the pendulum swings. In recent days and weeks, financial industry participants have welcomed a softer tone on regulation from the Trump Administration. For some in the industry, the heavy lead regulatory blanket that has weighed down the industry appears to be lifting. Could we be opening the doors to a new era of financial innovation? In the midst of the Dodd-Frank Act rules rollout, mandated by Congress and ushered in by the CFTC and SEC among others, we’ve seen little progress in terms of innovation within the financial services sector with the exception of reporting, compliance and audit solutions….

Making the case for smarter regulation of centrally cleared markets; Traders wake up to hedging as election jitters jolt stocks; Trump-Clinton Market Flareup Is Far From a Panic – Reality Check Newsletter,Options

Observations & Insight 5th Annual WILD Symposium Focuses on Shattering Stereotypes and Glass Ceilings by Jessica Darmoni – The Title Connections Women In Listed Derivatives (WILD), a group dedicated to helping women advance in the listed and over-the-counter derivatives space, held their 5th Annual WILD Symposium this week at the UBS Building in Chicago. Sponsored by the Options Clearing Corporation (OCC), Integritas Financial Consulting and the Berling Bank, this year’s conference focused on diversity in the Boardroom, how women can get a seat at the table and how the highest glass ceiling, the one of Oval Office, might be broken…

U.S. Said to Probe Tullett, BGC, TFS-ICAP Over Currency Options; CME sees clearing boost from OTC collateral rules; ExxonMobil eyes setting up large-scale trading division John Lothian Newsletter,Newsletter

First Read Bits & Pieces Last call. Our MarketsWiki Education series in London will be held on Monday. Do you know any interns, students, or young professionals who would benefit from hearing about our industry from the likes of Scott O’Malia, Guy Simpkin, Steve Woodyatt, Steve Grob, Rob Russell, Andrew Gibbins, Cathy Lyall and more? It’s not too late to send them our way. Register Hosted at the University of Chicago Booth School of Business, 25 Basinghall St, London EC2V 5HA, there are three 90 minute sessions: from 10:00 to 11:30, 13:00 to 14:30 and 15:00 to 16:30. Attend…

A Tangled Web: Exploring The Explosive U.S. Growth Of Options On Futures Blog,Commentary,Exchanges, OTC & Clearing,Feature,Fintech,Investing & Trading,Mwiki,Options

Options on futures volumes have been on the rise since the financial crisis. To explore the reasons for the trend, John Lothian News spoke with a variety of industry participants over the course of the summer.  The cause of the increasing volumes is an amalgam of larger trends in the financial industry, and the effects are a bright spot in an overall dark landscape.   Click here to view the article.