Applicant Business Profile
Committee: ISDA Conduct of Business RIC Group
The Conduct of Business RIC focuses on implementing regulatory requirements related to issues including but not limited to registration, recordkeeping, standards for dealing with counterparties, conflicts of interest and disclosure. The RIC addresses these issues primarily by establishing new ISDA working groups or leveraging existing ones. These working groups may be utilized to discuss the substantive requirements and member interpretations, or to establish best practices to facilitate industry compliance.
For example, ISDA working groups are assisting with industry implementation of disclosure requirements for electronically executed swaps, and with confirmation rule requirements. While the Conduct of Business RIC’s initial focus is on US rules, the Committee is global in its coverage.
Committee: ISDA Organized Trade Execution Regulatory Implementation
The Organized Trade Execution Regulatory Implementation Committee (“OTE RIC”), covers all issues associated with the execution of derivatives on U.S. SEF trading platforms. In order to develop comprehensive solutions with the widest possible industry buy-in, the Committee brings together the sell-side, buy-side and those who operate trading platforms. It will consider a broad set of issues, including trading functionality, market structure and issues of access. The Committee is global in its coverage.
Letter of Invitation Request Form
Opinion: Portugal - E-contracts
Contact: Pedro Cardigos Send Email
Opinion: Portugal - Clearing Members Reliance
Contact: Pedro Cardigos Send Email
Documents (16) for Portugal – Clearing Members Reliance
JAC Letter to the EC on PRIIPs
On October 17, the Joint Associations Committee on Retail Structured Products (JAC) called on the… Read more JAC Letter to the EC on PRIIPs