Ltd SA LLC

The following submissions in relation to proposed rule changes have been filed with the Commodity Futures Trading Commission (CFTC) on the date indicated, under the self-certification procedures.


ForexClear Self Certification (04/11/2011)

SwapClear Self Certification – FCM Rulebook (16/11/2011)

Clearing House Procedures -  Disciplinary and amended Appeal Procedures – Self-certification (20/12/2011)

Clearing House & FCM Procedures – Section 4 – Introduction of a Collateral Management system (09/02/2012)

Addition of two new World Container Index Contracts (14/02/2012)

Fee incentive scheme for Iron Ore options and Coal swaps contracts (15/02/2012)

Clearing House and FCM Procedures – Section 3 – Financial Transactions (16/02/2012)

ForexClear procedures Margin Multiplier Amendment (01/03/2012)

SwapClear Client Fees Self Certification (16/03/2012)

Overnight Index Swap and Japanese Yen Interest Rate Swap Maturity Extension (16/03/2012)

SwapClear GBP FRAs Self Certification (16/03/2012)

Amendments to the SwapClear Service – Segregated Default Fund, Changes to DMP and Membership criteria (16/04/2012)

Amendments to LCH.Clearnet Limited's Rules and Regulations to Reflect Changes to Comply with Incoming CFTC Regulations (20/04/2012)

Rule changes to Section 1 (01/05/2012)

Amendment to rules to add procedures for the delivery of precious metals as margin collateral (02/05/2012)

ForexClear Self Certification - Introduction of ForexClear FCM Client Clearing (06/06/2012)

SwapClear Client Fees Self Certification (18/06/2012)

SwapClear Self Certification – Default Fund Rules, Clearing House Procedures and FCM Procedures (17/07/2012)

ForexClear Self Certification - New Currencies (19/07/2012)

Precious metals - correction - self certification (24/07/2012)

SwapClear Self Certification - NZD IRS Maturity Extension (15/08/2012)   

SwapClear Self Certification - Introduction of FRAs into the FCM Model (15/08/2012)

SwapClear Self Certification: Fees Clarification, General Regulations and Clearing House Procedures (16/08/2012)

Amendment to procedures for accounts and payments (17/08/2012)

EnClear & Nodal Self Certification – Default Fund Rules, Clearing House Procedures, FCM Procedures (26/09/2012)

SwapClear Self Certification – FCM/SCM harmonisation (04/10/2012)

SwapClear Self Certification - LSOC and Bunched Order Allocation (18/10/2012)

EnClear & ForexClear LSOC and Nodal FCM model self-certification (19/10/2012)     
 
ForexClear and EnClear Service - LSOC Language Revision (05/11/2012)

SwapClear Service - LSOC Language Revision (05/11/2012)

SwapClear, ForexClear, and EnClear Services – Allocation of Gains or Losses (13/11/2012)

EnClear freight route contracts & Fertilizer self-certification (23/11/2012)

Default Fund Rules - Amendments (26/11/2012)

EnClear - Mandatory Clearing Determination. New Freight and Fertiliser contracts (03/12/2012)  

Changes to the SwapClear Margin Methodology (23/01/2013)

ForexClear - Real Time Registration (14/02/2013)

SwapClear Self-Certification - Clearing Member Tariff (Fee) Changes (13/03/2013)

SwapClear Strategic Initial Margin model changes (15/04/2013)

SwapClear - Real Time Trade Registration (RTTR) (15/04/2013)

SwapClear - Volume Discount Plan (19/04/2013)

SwapClear - Clarifying Language Regarding Ejection of Trades (26/04/2013)

ForexClear and EnClear - Clarifying Language Regarding Ejection of Trades (29/04/2013)

ForexClear CFTC SC Submission - Amendment to Market Data provisions of the Rules (30/04/2013)

ForexClear CTFC SC Submission - Additional Matcher (01/05/2013)

BAU Portability Change and Circular (10/06/2013)

Corrections to Voting Provisions in Default Fund Rules (13/06/2013)

ForexClear IM Model Change (12/07/2013)

ForexClear Client Clearing Fees (15/07/2013)

ForexClear Changes to MYR & IDR Fixing Rates (19/07/2013)

SwapClear - Requirements for Participation in Business Continuity Planning Coordination and Testing Programs (29/07/2013)

LCH.Clearnet Limited Self-Certification of Governing Documents (01/08/2013)

LCH.Clearnet Limited Rulebook Changes for Nodal FCM Model (12/09/2013)

LCH.Clearnet Limited - LSOC with Excess & other rule amendments (17/09/2013)

SwapClear Change in SGD-SOR Index Rate (SGD-SOR-VWAP) (20/09/2013)

LCH.Clearnet Limited Removal of Provisions from LSOC with Excess Submission (25/09/2013)

CFTC Self-Certification - ForexClear Revised Fees (26/09/2013)

CFTC Self-Certification - Bilateral Termination Process (26/09/2013)

CFTC Self-Certification - General Default Fund Re-strike (15/10/2013)

LCH.Clearnet Ltd - Change to Index Rates EURIBOR, CIBOR and NIBOR (15/10/2013)

LCH.Clearnet Ltd - Self-Certification of TrueEx as an Approved Trade Source System (24/10/2013)

CFTC Self-Certification - Acceptance of Contracts with Start and End of Contract Stub Periods (31/10/2013)

LCH.Clearnet Ltd - Extension of SwapClear Tolerance (04/11/2013)

LCH.Clearnet Ltd Self Certification - Registration of Non-Block Trades (06/11/2013)

LCH.Clearnet Ltd Self Certification - Return of Unallocated Excess (08/11/2013)

LCH.Clearnet Ltd Self Certification - Multilateral Compression Services re-introduced in SwapClear (11/11/2013)

LCH.Clearnet Ltd Self-Certification - SwapClear - backload discount for client clearing activity (20/11/2013)

LCH.Clearnet Ltd Self Certification - Backloading Changes (21/11/2013)

LCH.Clearnet Ltd Self Certification - SEF-DCM Workflow (21/11/2013)

LCH.Clearnet Ltd self-certification - Nodal Default Rule amendments (09/12/2013)

LCH.Clearnet Ltd Self-Certification - Rule changes in relation to margin-taking, payment netting and close-out netting (13/12/2013)

ForexClear Client Clearing Incentive Program Self-certifcation (21/01/2014)

FXC IM Model Parameter Changes (30/01/2014)

LCH.Clearnet Ltd Self-Certification - Direct Provision of Allocation (31/01/2014)

Self-certification of FRAs with Upfront Fees (04/02/2014)

LCH.Clearnet Limited CFTC Self-Certification – EnClear Rulebook changes to enable multiple Client accounts (04/02/2014)

SwapClear fee schedule for compression services (11/02/2014)

LCH.Clearnet LTD Self Certification - new ATSSs (12/02/2014) 

LCH Clearnet Limited Self Certifictaion - Nodal LCRM model (18/02/2014)

Self-Certification of Haircut Changes to the Securities Acceptable for Margin Cover Purposes (25/02/2014) 

Self-Certification of changes to Rulebook Procedures Section 4 and FCM Procedures (28/02/2014)

LCH.Clearnet Limited Self-certification - discount plan (04/03/2014)

Rulebook changes for the ForexClear Service Discontinuation of Settlement Rate Option events and the IDR fixing rate (06/03/2014)

Self-Certification to Remove Declear Functionality (07/03/2014)

LCH.Clearnet Limited self-certification - Rulebook changes in relation to collateral management processes (25/03/2014)

ForexClear - Changes to Reference Data Sections of the Rulebook and Procedures (02/04/2014)

Enclear - LCRM Add-on (04/04/2014)

LCH.Clearnet Limited Self-Certification of SwapClear and ForexClear Agreements (04/04/2014)

LCH.Clearnet Ltd Self Certification - Rulebook changes for the migration to the nodal clearing system (22/04/2014)

LCH.Clearnet Ltd Self Certification - Allocation of non-default losses (23/04/2014)

LCH.Clearnet Ltd Self-Certification - T+ 1 changes (01/05/2014)

LCH.Clearnet Ltd Self-Certification - SwapClear margin floor (02/05/2014)

LCH.Clearnet Ltd Self-Certification - Governance Documents (02/05/2014) 

LCH.Clearnet Limited Self Certification - EnClear margin floor (08/05/2014)

LCH.Clearnet - Confidential Submission (12/05/2014)

LCH.Clearnet Ltd Self Certification – Removal of BDI product from EnClear (21/05/2014)

LCH.Clearnet Ltd - Governance Documents (23/05/2014)

LCH.Clearnet Ltd - Rulebook Changes (30/05/2014)

LCH.Clearnet Self-Certification - SwapClear's Bunched order enhancements (13/06/2014)

LCH.Clearnet Limited Self-certification - Rulebook corrections (13/06/2014)

ForexClear Client Clearing Fees Waiver Extension (16/06/2014)

SwapClear Self-certification (11/07/2014) – JPY OIS up to 30yrs

SwapClear Self-certification (11/07/2014) – OIS-IBOR Swaps

ForexClear Rulebook Changes (15/07/14)

LCH.Clearnet Limited self-certification - Blended Rate Compression (28/07/2014)

LCH.Clearnet Ltd Self-Certification - Implementation of the Initial Margin Management Events Service ("IMMES") (28/07/2014)

ForexClear New Currency USD/PEN - (20/08/2014)

Change to Haircut Schedule for Acceptable Collateral (04/09/2014)

SwapClear change to Trade Booking Model (16/09/2014)

SwapClear Extended Hours.(10/10/2014)

Change to SwapClear European Client Account Fees (23/10/2014)

EnClear Futurisation (14/11/14)

LCH Clearnet Limited Self Certification - SCM Transfer Corrections (10/12/14)

LCH.Clearnet Limited Self Sertification - Compression Fee Change (11/12/14)

LCH.Clearnet Limited Self Certification - Change to Swapclear CDR (12/12/14)

LCH.Clearnet Limited Self Certification - Fund to Fund Transfers (02/01/14)

Self-certification of changes to Rulebook Procedures Section 4 (06/01/15)

LCH.Clearnet Limited Self Certification - Revised ToR for Audit Committee (22/01/15)

LCH.Clearnet Limited Self Certification - SwapCear 2015 Discount (09/2/15)

LCH.Clearnet Limited Self Certification - SwapCear Packages (10/02/15)

LCH.Clearnet Limited Self Certification - Transfer Correction (16/02/2015)

LCH Clearnet Limited Self Certification - Client Buffer (17/02/2015)

LCH Clearnet Limited Self Certification - SwapClear Compression Fees for Ad Hoc Runs (19/02/2015)

LCH.Clearnet Limited Self Certification - VM Classification (26/02/15)

LCH.Clearnet Limited - FCM Procedures Rule Change (26/02/15)

LCH.Clearnet Limited Self Certification - Inflation Swaps (09/03/15)

LCH.Clearnet Limited - Rules Change to Procedure Section 3 (20/03/15)

LCH.Clearnet Limited Self Certification - Assorted Rule Change (25/03/15)

LCH.Clearnet Ltd Self Certification - Calendar Day Changes for Interest Accrual Period (22/04/2015)

Self-certification of the ForexClear Client Clearing Fees Waiver Program (29/04/15)

LCH.Clearnet Ltd Self-Certification - Reg 46a Reg 45 Changes (08/06/15)

LCH.Clearnet Ltd Self-Certification Letter - PPS Contingency Rulebook Changes (08/06/15)

Rulebook Changes to Procedures Section 1 (15/07/2015)

LCHClearnet Ltd Self Certification - Manual Acceptance (23/07/2015)

LCHClearnet Ltd Self Certification - Inflation Swaps Market Data (30/07/2015)

CFTC Self-certification of ForexClear Solo Compression Initiative (24/08/2015)

LCH.Clearnet Ltd Self Certification - VMGH (04/09/2015)

LCH.Clearnet Ltd Self Certification - Swapclear Fee Change (04/09/2015)

LCH.Clearnet Ltd Self Certification - ForexClear Package Trades Initiative Rulebook Changes (09/09/15)

Rulebook changes to amend Procedures Section 6, FCM Regulations and FCM Procedures (15/09/15)

SwapClear Client Deposit Rate (CDR) change (16/09/15)

LCH.Clearnet Ltd Self Certification - Post Trade Synchronisation (21/09/15)

LCH.Clearnet Ltd Self Certification - Bunched Orders Clarification (15/10/15)

CFTC Self-certification of Terms of Reference for Risk Committee (16/10/15)

LCH.Clearnet Ltd Self Certification - SwapClear AUD OIS(30/10/15)

LCH.Clearnet LTD - Christmas and New Year 2015/16 Margin Calls & Margin Management (05/11/15)

SwapClear Variation Margin Settlement Rulebook Changes self-certification (18/11/15)

LCH.Clearnet Limited Self Certification - SwapClear fee change (02/12/15)

ForexClear Client Fee Waiver Program Self-Certification (16/12/15)

LCH.Clearnet Limited self certification - SwapClear tenor extensions (31/12/15)

LCH.Clearnet Limited Self Certification – SwapClear ICE LIBOR fee change (13/01/16)

LCH.Clearnet Limited Self Certification - SwapClear duo compression rulebook change (20/01/16)

LCH.Clearnet Limited Self-Certification - Addition of definition of  'Applicable Law' and Singapore disclosure Notice (21/01/16)

LCH.Clearnet LTD Margin Collateral Haircut Change (04/02/16)

LCH.Clearnet LTD Self Certification - Treasury Default and Default Confidentiality (05/02/16)

LCH.Clearnet LTD - ForexClear EMTA Template Rulebook Changes (11/02/16)

LCH.Clearnet LTD - Rulebook Section 4 Changes (24/03/16)

LCH.Clearnet Limited Self Certification - LCH Spider (28/04/16)

LCH.Clearnet LTD Self Certification - Election of Eligible SwapClear Contracts (23/05/16)

LCH.Clearnet LTD Self Certification - Spider, Default Rules Schedule 10 (08/06/2016)

LCH Clearnet LTD Self Certification - amendment to Japanese trade reporting and addition of reference to an 'Administrator' in Default Rules (09/06/2016)

ForexClear Compression Fees & tariff clarification (20/06/16)

LCH Rulebook changes for LDR & CDR (27/06/16)

LCH Clearnet LTD Self Certification - SwapClear transfers (29 July 2016)

LCH Clearnet Limited Self Certification - Multilateral compression for clients and addition of new VNS products (4th August 2016)

LCH Clearnet Limited Self Certification - Change to Additional Requirements (03/08/16)

LCH.Clearnet Ltd Self Certification - Changes to SwapClear MDRs times and Backload Registration Cycle times (10/08/16)

LCH.Clearnet Ltd Self Certification - expansion of Listed Interest Rates service (11/08/16)

LCH.Clearnet Ltd Self Certification - AUD PPS Rule Changes (11/08/16)

Extension of Variation Margin as Settlement (15/08/16)

Allocation of SwapClear Contracts (15/08/16)

Enhancements to the trade registration process (15/08/16)

Enhancements to BAU portfolio transfer processes in SwapClear (15/08/16)

Client fees for Multi-lateral compression (19/08/16)

Opening hours and new financial centres (19/08/16)

LCH.Clearnet Ltd - Collateralization to Stress Loss for Clients (26/08/16)

LCH.Clearnet self certification - Circular to SwapClear Members on IMMFP model change (02/09/16)

LCH Ltd self certification - rule change on termination of small notional trades (06/09/16)

LCH PPS Reform Rulebook Changes (07/09/16)

LCH.Clearnet Ltd self certification - rule changes on clarifications related to Listed Rates service and BAU SwapClear transfers (09/09/16)

Tenor extensions to Norwegian, Polish and Danish currency swaps (16/09/16)

LCH.Ltd self certification - rule changes on MXN IRS, VNS in PLN/NOK/SEK and new NOK index name (16/09/16)

ForexClear Fee Changes Self-certification (20/09/16)

LCH Self Cert - Listed Rates opening hrs and CSD account details (29/09/2016)

LCH Rulebook Changes to Procedures Section 3 & 4 (13/10/16)

LCH LTD Self Cert - Japanese rest, Hedged Accounts, Applicable Law and Singapore disclosures (11/11/2016)

LCH.Ltd Self certification - rule change related to the characterisation of unallocated Excess as FCM buffer (18/11/16)

LCH Ltd Margin Collateral Haircut Schedule Change (29/11/16)

LCH.Ltd Self Certification - SwapClear Member Circular on Discontinuation of TOIS index (1/12/16)

LCH Custodial Segregation Account Rule Changes (15/12/16)

LCH Limited Self Certification - Changes to Default Rules (23/12/16)

LCH Limited Self Certification - Rule Change on removal of market standard definitions. (13/01/17)

LCH Limited Self Certification - Rule Change on SwapClear opening hours and conforming changes for the Rates service. (8/02/17)

LCH Limited Self Certification - Rule Change allowing Listed Rates and Portfolio Margining for FCMs and their clients. (27/02/2017)

LCH Limited Self Certification - Dirty pricing (01/03/2017)

LCH Limited Self Certification - Enhancements to Collateralisation to Stress Loss (8/03/17)

LCH Limited Self Certification - Rule Changes on Duo Compression and Bulk Events (09/03/17)

LCH Limited Self Certification - Rule Changes to introduce Variable Notional Swaps in additional currencies (10/03/17)

LCH Limited Self Certification - Rule Changes related to ATSS synchronisation (10/03/17)

LCH Limited Self Certification - Rule Changes to facilitate economic amendments (10/03/17)

LCH LTD Margin Collateral Haircut Schedule Change (15/03/17)

ForexClear (NDF) Minimum Tenor Acceptance (31/03/17)

ForexClear Bunched Orders Self-certification Letter (7/04/17)

Margin Collateral Haircut Change (27/04/17)

LCH Ltd Self Cert - Removal of market standard definitions, conforming changes to tenors and amendments to use of excess margin (SwapClear) (01/05/2017)

ForexClear Default Fund Remuneration Change (08/05/2017)

LCH Limited Self Certification - Rule Change allowing use of alternative interest rate source for PAI or PAA calculation, invoicing back of non-performing contracts and use of market data by LCH Group companies (15/05/2017)

LCH Limited Self Certification - Closure of the NLX platform, removing restrictions on clearing STM contracts in Japan and conforming changes to the rulebook (23/05/2017)

LCH Limited Self-Certification: Rule Changes on Compression Services Fees and Payments for Portfolio Transfers (13/06/2017)

LCH Limited Self Certification - Part 45 Related Rule Changes (30/06/17)

LCH Limited Self Certification - Canadian Client Account Restriction (30/06/17)

LCH Limited Self Certification - Listed rates volume based fees structure (13/07/17)

LCH Rulebook changes in relation to ForexClear minimum acceptable tenor (21/07/17)

Margin Collateral Haircut Schedule (27/07/17)

LCH Limited Self Certification - SCM bunched Orders (10/08/17)

LCH Limited Self Certification: Member Circular on Implementation of Portfolio Margining Floor (01/09/17)

LCH Limited Self Certification: Tax Evasion Warranty from Clearing Members (08/09/17)

LCH Limited Self Certification: Rule changes related to Part 45 (19/09/17)

LCH Limited Self Certification - SARON OIS eligibility (31) (29/09/17)

LCH Limited Self Certification Extension of LCH Spider (29/09/17)

Margin Collateral Haircut Schedule Change (09/10/17)

ForexClear Major Currency NDFs Self-certification (17/10/17)

LCH Limited Self Certification: rule changes on the use of FCM Buffer as Variation Margin (02/11/17)

ForexClear Branches Clarification Rulebook Change (03/11/17)

Forexclear amendment to G10 NDF fees (06/11/17)

LCH Limited self certification custodial segregation account fees (13/11/17)

LCH Limited self certification swapclear IBOR OIS and tenor extensions (13/11/17)

LCH Limited self certification - AUS as IM (14/11/17)

LCH Ltd self-certification of MiFID II Rulebook changes (20/11/17)

The following submissions in relation to proposed rule changes have been filed with the Commodity Futures Trading Commission (CFTC) on the date indicated, under the self-certification procedures or with the US Securities Exchange Commission (SEC) in accordance with the SRO Rule Filing Process.

 
CFTC filings
SEC filings
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The following submissions in relation to proposed rule changes have been filed with the Commodity Futures Trading Commission (CFTC) on the date indicated.

Voluntary Submission of Rulebook and Supporting Materials (23/08/2012)

LCH.Clearnet LLC Self-Certification of Part 22 LSOC Rules (29/10/2012)

LCH.Clearnet LLC Self-Certification of SwapClear US Rulebook Changes (29/10/2012)

SwapClear US - Introduction of Member and Client Fees (including Volume Discount Plan) (19/04/2013)


SwapClear US - Rule Submission for Straight-Through Processing, IM Methodology, and Other Changes (13/05/2013)

LCH.Clearnet LLC Self-Certification of Securities Acceptable for Margin Cover Purposes (17/05/2013)

LCH.Clearnet LLC--SwapClear Tolerance Availability (24/5/2013)

LCH.Clearnet LLC--BAU Portability Changes (06/06/2013)

SwapClear US - Extension of OIS Denominated USD, EUR, and GBP to 30 years (13/06/2013)

SC Terminology Changes & Settlement of Variation Margin (03/07/2013)

LCH.Clearnet LLC - Submission of Governing Documents (01/08/2013)

SwapClear US Change in SGD-SOR Index Rate (SGD-SOR-VWAP) (20/09/2013)

LCH.Clearnet LLC - Change to Index Rates EURIBOR, CIBOR & NIBOR (15/10/2013)

CFTC Self-Certification: SwapClear - Acceptance of Contracts with Start and End of Contract Stub Periods (31/10/2013)

LCH.Clearnet LLC - Extension of SwapClear Tolerance (04/11/2013)

LCH.Clearnet LLC Self Certification - Registration of Non-Block Trades (06/11/2013)

LCH.Clearnet LLC Self Certification - Return of Unallocated Excess and FCM Buffer Circular (08/11/2013)

LCH.Clearnet LLC - re-introduction of a backload discount for client clearing activity (20/11/2013)

LCH.Clearnet LLC Self Certification - Backloading Changes (21/11/2013)

LCH.Clearnet LLC Self Certification - SEF-DCM Workflow (21/11/2013)

LCH.Clearnet LLC Self Certification - Updated PPS Fees (12/12/2013)

LCH.Clearnet LLC Self Certification - Direct Provision of Allocation (31/01/2014) 

Self-certification of FRAs with Upfront Fees (04/02/2014)

LCH.Clearnet LLC Self Certification - new ATSSs (12/02/2014)

Self-Certification of Haircut Changes to the Securities Acceptable for Margin Cover Purposes (25/02/2014)

Self-Certification for the Introduction of the LSOC with Excess Model (27/02/2014)

Self-Certification to Remove Declear Functionality (07/03/2014) 

Self-Certification to Clarify Language Regarding Transfer of Client and Proprietary Contracts (30/03/2014)

Self-Certification for Security Interest Changes, Ballot Removal, Bankruptcy Representations and Other Ancillary Changes (30/06/14)

LCH.Clearnet LLC Self-Certification - Implementation of the Initial Margin Management Events Service ("IMMES") (28/07/2014)

LCH.Clearnet LLC - Change to Haircut Schedule for Acceptable Collateral (4/9/2014)

LCH.Clearnet LLC Self Certification - Liquidity Tools (08/12/14)

LCH.Clearnet LLC Self Certification  - Default Fund Resize (17/04/2015)

LCH.Clearnet LLC Self Certification - Client Deposit & Default Fund Rates (30/04/2015)

LCH.Clearnet LLC - Christmas and New Year 2015/16 Margin Calls & Margin Management (05/11/15)

LCH.Clearnet Limited - Self Certification - Changes to Fee Structure for LLC 's SwapClear US service (21/01/16)

LCH LLC Self Certification - Return of Default Fund Contributions to LLC Clearing Members (02/06/16)