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April 24, 2015

The SEC issued a notice soliciting comments regarding the extension and approval of its "risk assessment rules". These rules address the collection of information required by Exchange Act Rules 17h-1T and 17h-2T. The SEC plans to submit the collection of information rules to the Office of Management and Budget ("OMB") for extension and approval. According to the SEC, the collection of information required by Exchange Act Rules 17h-1T and 17h-2T, referred to as the "risk assessment rules," is necessary to enable the SEC to "monitor the activities of a broker-dealer affiliate whose business

January 28, 2015

IOSCO published a final report, titled "Risk Mitigation Standards for Non-Centrally Cleared OTC Derivatives," which outlines standards that are intended to reduce risk in the non-centrally cleared OTC derivatives markets. The risk mitigation standards in the report were developed in consultation with the Basel Committee on Banking Supervision and the Committee on Payments and Market Infrastructures. They stem from a proposed standards report that was published in September 2014. The final report focuses on a number of ways in which risk standards can be applied in key areas to reduce risks in