Search for: "US COMMODITY FUTURES TRADING COMMISSION"
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3 Sep 2010, 8:00 am
Commodity Futures Trading Commission (CFTC) released final rules respecting off-exchange retail foreign currency transactions. [read post]
5 Dec 2016, 2:12 pm
Commodity Futures Trading Commission‘s Division of Swap Dealer and Intermediary Oversight provided no-action relief to futures commission merchants (FCMs) and introducing brokers (IBs), allowing them to provide non-institutional customers with a single, consolidated risk disclosure statement containing the same material information required in several risk disclosure statements. [read post]
13 Mar 2014, 4:00 am
The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security safeguards provisions of Title V of the Gramm-Leach-Bliley Act (GLBA). [read post]
30 Jan 2024, 5:50 am
The RFC specifically asks for feedback about AI use in CFTC-regulated markets and avoids broader queries about AI, dividing its 20 questions between current and potential uses of AI, including its scope and its risks to CFTC-regulated entities: derivatives clearing organizations, futures commission merchants, swap dealers, swap execution facilities, designated contract markets, and other derivatives market participants. [read post]
25 Jun 2012, 2:59 pm
Case in point...The trading of non-U.S. futures contract through a U.S. futures commission merchant. [read post]
11 Dec 2017, 1:54 pm
As well as the decision, which is available here, the European Commission and the Commodity Futures Trading Commission (“CFTC“) issued a joint statement which confirmed the ability of EU counterparties to trade derivative instruments which are subject to EU trading obligations on the markets and facilities referred to above. [read post]
14 Oct 2019, 1:11 pm
On October 11, 2019, the Financial Crimes Enforcement Network (FinCEN), the US anti-money laundering (AML) agency, along with the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) (collectively, the “Agencies”) issued a joint statement on digital assets activities (“Statement”), reminding the businesses under their jurisdictions that digital assets activities may be subject to AML… [read post]
1 Feb 2011, 11:49 am
In a letter to the SEC, the Managed Funds Association, reasoning by analogy, suggested that the SEC use the factors in a 1983 no-action letter determining a fund’s primary business in adopting regulations on whether a commodity trading advisor is predominantly engaged in providing advice on securities, which would cause the exemption to be lost. [read post]
20 Sep 2019, 7:51 am
On 19 September 2019, the FCA published an updated joint statement on opportunistic strategies in the credit derivatives market in cooperation with the US Securities and Exchange Commission and the US Commodity Futures Trading Commission. [read post]
1 Jul 2013, 3:03 pm
The same day that Jersey boy and portrayer of America’s favorite made man James Gandolfini was laid to rest, another made man from Jersey, Jon Corzine, was charged by the Commodities Futures Trading Commission with unlawful use of customer funds. [read post]
16 Sep 2014, 5:00 am
Last week, the Commodity Futures Trading Commission issued an exemptive letter that would allow private funds treated as commodity pools to use the JOBS Act general solicitation provisions. [read post]
24 Apr 2024, 12:17 pm
Commodity Futures Trading Commission (CFTC) has contacted a number of major banks requesting non-disclosure agreements used in their swaps and clearing businesses to see whether they restrict whistleblowing, according to reporting by Bloomberg. [read post]
14 May 2020, 7:35 am
On March 28, 2020, the Commodity Futures Trading Commission (CFTC) issued final interpretive guidance (Guidance) clarifying its position with respect to retail commodity transactions and the “actual delivery” exception in the context of digital assets. [read post]
13 Jan 2011, 7:25 am
In order to combat excessive speculation in oil and other commodities, Congress directed the Commission to enact new and meaningful restrictions on the size of investors’ commodity holdings. [read post]
20 Feb 2018, 2:33 am
The FCA and the US Commodity Futures Trading Commission (CFTC) have signed an arrangement that commits the regulators to collaborating and supporting innovative firms through each other’s financial technology initiatives – LabCFTC and FCA Innovate. [read post]
19 Oct 2015, 5:00 am
MF Global, Inc. was a futures commission merchant (FCM) that accepted deposits from customers to trade commodity futures. [read post]
28 Dec 2020, 12:17 pm
Commodity Futures Trading Commission (CFTC). [read post]
31 Jul 2023, 11:26 am
Securities and Exchange Commission and the Commodity Futures Trading Commission over its employees’ use of messaging applications that broke record-keeping rules. [read post]
10 Nov 2016, 2:50 pm
Last week the Commodities Futures Trading Commission (CFTC) decided that it should no longer be constrained by its subpoena power when it seeks to obtain highly confidential and propriety algorithms used by electronic trading firms. [read post]
16 Jul 2012, 8:33 am
Asset Managers in Asia Prepare for New Swaps RulesAsset managers in Asia are gearing up in anticipation of compliance obligations stemming from the US, where a wave of new regulations will come into effect after a key announcement made by the US Commodity Futures Trading Commission (“CFTC”) last week. [read post]
