At an industry event in early 2023, Commodity Futures Trading Commission (CFTC or the Commission) Chairman Rostin Behnam set out a comprehensive agenda to include nearly three dozen rulemaking proposals as well as “business...more
2/28/2024
/ Asset Class ,
CFTC ,
Commodities ,
Compliance ,
Conflicts of Interest ,
Congressional Review Act ,
Derivatives ,
Derivatives Clearing Organizations ,
Dodd-Frank ,
Enforcement Actions ,
Enforcement Priorities ,
Form PF ,
Futures Commission Merchants (FCMs) ,
Major Swap Participants ,
Regulatory Authority ,
Reporting Requirements ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swaps
The Commodity Futures Trading Commission (CFTC) Division of Enforcement recently released a new advisory to its staff related to penalties, corporate compliance monitors and consultants, and admissions in CFTC enforcement...more
10/31/2023
/ Admissions ,
CFTC ,
Compliance ,
Compliance Monitoring ,
Consultants ,
Cooperation ,
Department of Justice (DOJ) ,
Enforcement Guidance ,
Enforcement Priorities ,
Penalties ,
Securities and Exchange Commission (SEC)
Gary Gensler served as Chair of the Commodity Futures Trading Commission (“CFTC”)from May 26, 2009 to January 3, 2014. He presided over the CFTC during the period that followed the 2008 financial crisis and led the CFTC...more
One of the world’s largest cryptocurrency exchanges - FTX Trading Ltd. - and many of its affiliates filed for bankruptcy earlier this month. While the full impact of the FTX bankruptcy is not yet clear, various responses from...more
12/1/2022
/ Biden Administration ,
CFTC ,
Chapter 11 ,
Commercial Bankruptcy ,
Corporate Counsel ,
Crypto Exchanges ,
Cryptocurrency ,
Federal Reserve ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Agencies ,
Financial Services Industry ,
Financial Stability Board ,
G20 ,
Market Participants ,
Regulatory Agenda ,
Regulatory Authority ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC)