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Documentation Commodities Futures Trading Commission

NAVEX

3 Keys to an Effective Compliance Program, According to the CFTC

NAVEX on

The Commodities and Futures Trading Commission (CFTC) has become the latest regulatory agency to spell out what it wants corporate compliance programs to accomplish in the form of a two-page memo, published Sept. 10, 2020,...more

Dechert LLP

CFTC Extends Certain SEF Reporting, Confirmation, and Documentation Compliance Dates

Dechert LLP on

commoThe Division of Market Oversight (“Division”) of the U.S. Commodity Futures Trading Commission (“CFTC”) on September 27 and 30, 2013 issued several no-action letters to temporarily registered swap execution facilities...more

Akin Gump Strauss Hauer & Feld LLP

CFTC Amends Certain Record Retention and Document Distribution Requirements for All CPOs and CTAs

On August 13, 2013, the Commodity Futures Trading Commission (CFTC) adopted amendments to certain provisions of Part 4 of the CFTC regulations that are applicable to all commodity pool operators (CPOs) and commodity trading...more

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