compliance, risk and regulation

I need some assistance with these assignment. past exam paper (module: compliance, risk and regulation) Thank you in advance for the help!

Moreover, the restrictions under the new regulations of OTC, are guided by Title VII, that basically provide powers to regulators to limit power reduce the level of swap positions that are under the custody of derivatives traders or in some cases class of traders. One of the regulators with this capacity is the Commodity Futures Trading Commission. these ban derivatives allows the CFTC trading commission to determine the aggregate limit that can be incurred in contracts traded through exchanges.

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However, the regulations of OTC allow banks to continue trading derivatives under Over-the-Counter Derivatives through in-house processes. Initially, central clearing processes through banks were under a process known as Plain-Villa. These regulations allow regulating agencies and banks to facilitate a continuous review of swaps. Moreover, the Over-the-Counter derivatives through the new regulations give the regulating agencies the power to set and merge requirements as well as swaps that have not been cleared.


Another pertinent issue ascribed to the OTC derivatives occurs in the sense that all derivatives participants in the market are affected on a wide perspective. However, the level of impact on each participant relies on the degree of classification or the manner through, which each participant is classified.

The Markets in Financial Instruments Derivatives, the USD/ F & CFTC approaches were introduced to facilitate reform in issues ascribed to financial management. Specifically, these approaches have been applied for the last two ensure that there is efficient operation in relation to financial management.

All these approaches are implemented in a manner that they increase efficiency and integration of specific facets of financial instruments through establishment of harmonized and controlled financial frameworks. These frameworks facilitate activities undertaken to increase investment services.

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