FCMs

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

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

by Timothy Blank, Nicholas DiLorenzo, Owen C.J. Foster, Christopher Harvey | Dechert LLP on 4/30/2013

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the “Rules”), which are rules and guidelines requiring certain financial institutions worldwide to adopt comprehensive data security programs to detect...more

The SEC and CFTC Adopt Identity Theft Red Flag Rules

by Charley Lozada | Proskauer - Privacy & Data Security on 4/24/2013

The Securities and Exchange Commission (the “SEC”) and Commodity Futures Trading Commission (the “CFTC”) recently adopted rules requiring entities subject to their respective enforcement authorities to adopt and implement...more

Corporate and Financial Weekly Digest - April 19, 2013

by Katten Muchin Rosenman LLP on 4/22/2013

In this issue: - FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements - NFA Amends FCM Capital Requirements for Forex Transactions with ECPs - Delaware Supreme Court Upholds...more

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

CFTC No-Action Relief for Compliance Reporting

by Orrick - Structured Finance Group on 4/4/2013

On March 28, the CFTC issued a no-action letter providing limited relief, in certain circumstances, from the requirement that chief compliance officers of futures commission merchants prepare and submit an Annual Report....more

NFA Issues Reminder of FCM Responsibility for Review of Guaranteed IB Promotional Materials

by Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 4/3/2013

In response to an increase in the volume of promotional material being submitted by guaranteed introducing brokers (GIBs) to the National Futures Association (NFA) through its Pre-review Program (a free service offered by the...more

Corporate and Financial Weekly Digest - March 29, 2013

by Katten Muchin Rosenman LLP on 4/1/2013

In this issue: - Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information - SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin...more

FCMs Required to Have Chief Compliance Officer by March 29

by Blake Brockway, Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 3/20/2013

Commodity Futures Trading Commission Regulation 3.3, which requires each futures commission merchant (FCM) to designate a chief compliance officer (CCO), will become effective on March 29, 2013 in respect of FCMs that are not...more

Corporate and Financial Weekly Digest - March 15, 2013

by Katten Muchin Rosenman LLP on 3/18/2013

In this issue: - Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee - SEC Proposes Rules Regarding Technology Systems - FINRA Amends Rules to Address Extraordinary Market...more

Confirmations: NFA and CME’s Financial Match.com [Video]

by MarketsReformWiki on 3/6/2013

Watch the Restoring Customer Confidence video series: http://jlne.ws/TJeVtG About this solution: The fraud at Peregrine Financial Group was uncovered in July 2012 by the National Futures Association (NFA) which used an...more

CFTC Orders Enskilda Futures To Pay $125,000 For Margin Errors

by Felix Shipkevich | Shipkevich PLLC on 2/20/2013

The U.S. Commodity Futures Trading Commission (CFTC) has filed and settled charges with Enskilda Futures Limited (EFL) for failing to meet capital requirements....more

Confirmations: Plugging Into Electronic Confirmations [Video]

by MarketsReformWiki on 2/20/2013

Watch the Restoring Customer Confidence video series: http://jlne.ws/TJeVtG About this solution: Capital Confirmation, which runs Confirmation.com, is credited with helping to unveil the massive $215 million fraud at...more

Gone In 60 Seconds: CFTC’s New Rule Will Force Rejections

by Elan Mendel | Shipkevich PLLC on 2/19/2013

U.S. Commodity Futures Trading Commission’s (CFTC) new 60-second rule will require futures commission merchants (FCMs) to have a maximum of 60-seconds to accept or reject a trade for clearing. Risk reports that the CFTC...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

Daily Reports: Tell Us Where The Money Is [Video]

by MarketsReformWiki on 2/13/2013

Watch the Restoring Customer Confidence video series: http://jlne.ws/TJeVtG About this solution: In the months and days since MF Global’s collapse and the Peregrine Financial Group’s fraud, some have argued simply for...more

Legal Alert: Court Rejects Safe Harbor Defenses for Futures Customers

by Cheryl I. Aaron, James M. Cain, Doyle Campbell, Kalaundra Y. Carreathers, Warren N. Davis, Jacob Dweck, Daphne G. Frydman, Meghan R. Gruebner, Alexander S. Holtan, Meltem F. Kodaman, more +Catherine M. Krupka, David T. McIndoe, Raymond A. Ramirez, Mark D. Sherrill, R. Michael Sweeney, Jr. | Sutherland Asbill & Brennan LLP on 2/1/2013

On January 4, 2013, the U.S. District Court for the Northern District of Illinois issued an opinion that strikes a significant blow against the rights of futures customers that might otherwise enjoy the Bankruptcy Code’s safe...more

Customer Segregation: Keep It Separate [Video]

by MarketsReformWiki on 1/29/2013

Watch the Restoring Customer Confidence video series: http://jlne.ws/TJeVtG About this solution: There has been much talk about protecting customer funds but keeping them in segregated accounts outside of the brokerage...more

CFTC No-Action Relief for Futures Commissions Merchants

by Orrick - Structured Finance Group on 12/17/2012

On December 11, the CFTC issued a no-action letter that provides certain futures commission merchants (FCMs) with limited relief surrounding the requirement that chief compliance officers of such FCMs prepare and submit an...more

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

by MarketsReformWiki on 2/14/2012

More video at MarketsWiki.tv Bart Mallon is a partner and co-founder of Cole-Frieman & Mallon, a San-Francisco-based law firm specializing in hedge fund and alternative investment legal services. His areas of...more

Derivatives Attorney Jim Falvey Discusses the MF Global bankruptcy, the Volcker Rule & Compliance Issues Related to Dodd-Frank [Video]

by MarketsReformWiki on 11/23/2011

More video at MarketsWiki.tv. Jim Falvey has been an attorney in the exchange and FCM space for over 15 years. He has served as general counsel of Eurex US and IntercontinentalExchange, as assistant general counsel for CME...more

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

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

The SEC and CFTC Adopt Identity Theft Red Flag Rules

Corporate and Financial Weekly Digest - April 19, 2013

2013 Mutual Funds and Investment Management Conference

CFTC No-Action Relief for Compliance Reporting

NFA Issues Reminder of FCM Responsibility for Review of Guaranteed IB Promotional Materials

Corporate and Financial Weekly Digest - March 29, 2013

FCMs Required to Have Chief Compliance Officer by March 29

Corporate and Financial Weekly Digest - March 15, 2013

Confirmations: NFA and CME’s Financial Match.com [Video]

CFTC Orders Enskilda Futures To Pay $125,000 For Margin Errors

Confirmations: Plugging Into Electronic Confirmations [Video]

Gone In 60 Seconds: CFTC’s New Rule Will Force Rejections

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

Daily Reports: Tell Us Where The Money Is [Video]

Legal Alert: Court Rejects Safe Harbor Defenses for Futures Customers

Customer Segregation: Keep It Separate [Video]

CFTC No-Action Relief for Futures Commissions Merchants

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

Derivatives Attorney Jim Falvey Discusses the MF Global bankruptcy, the Volcker Rule & Compliance Issues Related to Dodd-Frank [Video]

Confirmations: NFA and CME’s Financial Match.com [Video]

Confirmations: Plugging Into Electronic Confirmations [Video]

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

Daily Reports: Tell Us Where The Money Is [Video]

Customer Segregation: Keep It Separate [Video]

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

Derivatives Attorney Jim Falvey Discusses the MF Global bankruptcy, the Volcker Rule & Compliance Issues Related to Dodd-Frank [Video]

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