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1 Aug 2023, 7:28 am
” Kohn explains that following the passage of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) did not predict the transnational reach of their programs and did not involve global actors in their rulemaking process. [read post]
31 Jul 2023, 11:34 am
” Among the agencies which recognized National Whistleblower Day this year were two with hugely important whistleblower award programs: the Commodity Futures Trading Commission (CFTC) and Internal Revenue Service (IRS). [read post]
30 Jul 2023, 9:01 pm
By following the mandates of the Strategy in drafting regulations, FinCEN will be able to set up a whistleblower program that protects and compensatea whistleblowers in extreme danger worldwide The AML Whistleblower Improvement Act was modeled off the whistleblower provisions of the Dodd-Frank Act, which established the successful whistleblower programs of the Securities and Exchange Commission (“SEC”) and Commodities and Futures Trading Commision… [read post]
20 Jul 2023, 10:44 am
For background, on September 22, 2022, the CFTC charged Ooki DAO for engaging in unlawful off-exchange leveraged and margined retail commodity transactions, engaging in activities performed by a registered futures commission merchant, and failing to implement appropriate Customer Information Program/KYC/AML procedures in violation of the Commodity Exchange Act of 1936, as amended (the “CEA”). [read post]
29 Jun 2023, 9:01 pm
Agencies such as the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have asserted jurisdiction over various cryptoasset activities and businesses through enforcement actions brought under existing securities and commodities laws. [read post]
26 Jun 2023, 10:30 pm
Cryptocurrency and Blockchain Litigation and Regulatory Enforcement Access this practice note for key information on cryptocurrency and blockchain criminal fraud litigations and prosecutions by various agencies, including the Department of Justice, Securities and Exchange Commission, and Commodity Futures Trading Commission, and various state attorneys general, and private plaintiffs. [read post]
14 Jun 2023, 12:55 pm
The Securities and Exchange Commission (SEC) and the Commodities Futures Trading Commission (CFTC) have both accused him of fraud. [read post]
30 May 2023, 8:00 am
Several agencies—including the Consumer Financial Protection Bureau and Commodity Futures Trading Commission—have already relied on these recommendations to facilitate meaningful public engagement in regulatory planning, and other agencies will find them useful in evaluating their own processes. [read post]
23 May 2023, 9:01 pm
Further, we recently adopted rules requiring, for the first time, private fund advisers to make current reports of events that may indicate significant stress or otherwise signal for systemic risk and investor harm.[15] In addition, working with the Commodity Futures Trading Commission, we proposed enhanced periodic reporting for large hedge funds.[16] Registered Funds If Healy were with us today, he’d likely be amazed that registered investment funds have… [read post]
16 May 2023, 9:45 am
FTX was one of the world's largest cryptocurrency exchanges, and its implosion led to $8 billion in customer losses, the United States Commodity Futures Trading Commission estimated.Read 11 remaining paragraphs | Comments [read post]
12 May 2023, 3:58 am
Customs and Border Protection (CBP) investigation form the basis of any detention, but also imposed supply chain documentation requirements that are nearly impossible to satisfy, at least for the small- and medium-sized entities (SMEs) that account for approximately 40% of all Chinese imports into the United States. [read post]
12 May 2023, 3:58 am
Because so many SMEs depend on unfettered access to Chinese materials, parts, components, subassemblies, and/or finished goods – this disregard for the impact of the UFLPA on SMEs could end up threatening the economic well-being of the United States. 4. [read post]
11 May 2023, 5:01 am
§ 1702(a)(1)(B), extends to “any property in which any foreign country or a national thereof has any interest by any person, or with respect to any property, subject to the jurisdiction of the United States. [read post]
3 May 2023, 9:01 pm
In response, Congress mandated that the SEC and the Commodity Futures Trading Commission (CFTC), working with the member regulators of the Financial Stability Oversight Council (FSOC), establish reporting requirements for private funds “as necessary and appropriate in the public interest and for the protection of investors, or for the assessment of systemic risk. [read post]
2 May 2023, 9:01 pm
Given this history, Dodd-Frank authorities, and not to mention what happened in Archegos, I supported the Commission’s proposed rules to a) require prompt disclosure of large security-based swap positions and b) strengthen investor protection in security-based swaps.[24] Resiliency Let’s turn back to the 1990s for a moment. [read post]
2 May 2023, 12:51 pm
” They include: Commodity Futures Trading Commission Department of Justice MIMF Unit Federal Bureau of Investigation Federal Trade Commission Internal Revenue Service Secret Service Securities and Exchange Commission. [read post]
28 Apr 2023, 9:05 pm
Other policymakers have argued that some digital assets are subject to regulation by the Commodity Futures Trading Commission (CFTC), which regulates derivatives markets. [read post]
17 Apr 2023, 5:16 am
But the United States lacks general whistleblower protections that would protect workers who disclose wrongdoing. [read post]
29 Mar 2023, 1:00 pm
“I hope it is implemented properly, because although the Dodd-Frank Act permits anonymous and confidential whistleblowing to the Security and Exchange Commission (SEC) and to the Commodity Futures Trading Commission (CFTC), up until the AML law, the Justice Department was not required to accept confidential and anonymous whistleblowing information in any of the reward laws, including false claims that they administer. [read post]
17 Mar 2023, 12:13 pm
Commodity Futures Trading Commission Enforcement Attorney Melanie Devoe, among other U.S. and UK attorneys and advocates, will join Kohn on this panel to discuss what has worked for American laws and programs and how the UK can implement and expand on those successes. [read post]
