Customer Funds Protection

CFTC May Make Changes To Proposed Dodd-Frank Rule Regarding FCMs

by Felix Shipkevich | Shipkevich PLLC on 5/14/2013

The Commodity Futures Trading Commission (CFTC) is considering making adjustments to the Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations...more

NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform [Video]

by MarketsReformWiki on 4/2/2013

One of the issues that emerged from the MF Global collapse was the complex and often frustrating US bankruptcy process. In the case of MF Global, futures customers’ claims were lumped in with other creditors. As such, it took...more

SEC Adviser Exams Find Widespread Violations of Custody Rule

by Luke T. Bagley, Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 3/8/2013

The SEC’s Office of Compliance Inspections and Examinations reports finding widespread compliance deficiencies related to custody of securities. In its March 4, 2013 National Exam Program Risk Alert, OCIE said that...more

CFTC Proposal Poses “Monumental” Challenge to FCMs [Video]

by MarketsReformWiki on 2/13/2013

A rule proposed by the Commodity Futures Trading Commission (CFTC) designed to strengthen safeguards for customer deposits at futures commission merchants (FCMs) is threatening to overhaul the futures brokerage system. The...more

CFTC to Host Roundtable on Enhancing Customer Funds Protection

by Kevin M. Foley, Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 2/6/2013

The Commodity Futures Trading Commission staff will host a public roundtable to discuss the CFTC’s proposed rulemaking, “Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and...more

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CFTC May Make Changes To Proposed Dodd-Frank Rule Regarding FCMs

NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform [Video]

SEC Adviser Exams Find Widespread Violations of Custody Rule

CFTC Proposal Poses “Monumental” Challenge to FCMs [Video]

CFTC to Host Roundtable on Enhancing Customer Funds Protection

NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform [Video]

CFTC Proposal Poses “Monumental” Challenge to FCMs [Video]

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