Director Joshua B. Sterling of the CFTC’s Division of Swap Dealer and Intermediary Oversight (DSIO or Division) delivered several speeches in September and early October 2019, setting forth certain guiding principles and the...more
10/11/2019
/ Asset Management ,
CFTC ,
Commodities ,
CPAs ,
CPOs ,
DSIO ,
Libor ,
Margin Requirements ,
No-Deal Brexit ,
Regulatory Agenda ,
Swap Dealers ,
Swaps
The U.S. Commodity Futures Trading Commission (CFTC) approved on December 16 final rules (Final Rules) on margin requirements for over-the-counter uncleared swaps entered into by CFTC-registered swap dealers (SDs) and major...more
The National Futures Association (NFA) adopted on October 23, 2015 an “Interpretive Notice to NFA Compliance Rules 2-9, 2-36, and 2-49: Information Systems Security Programs” (Notice). The Notice requires each NFA Member to...more
11/6/2015
/ Brokers ,
CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Cybersecurity ,
Dealers ,
Employee Training ,
Information Systems Security Program (ISSP) ,
Major Swap Participants ,
National Futures Association ,
NFA ,
Parent Corporation ,
Popular ,
Recordkeeping Requirements ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Third-Party Service Provider
The Division of Swap Dealer and Intermediary Oversight (DSIO Staff) of the U.S. Commodity Futures Trading Commission (CFTC) issued exemptive relief on September 8, 2014 to permit a registered commodity pool operator (CPO) to...more