On October 15, the Commodity Futures Trading Commission (CFTC or the Commission) adopted final rules imposing speculative position limits in derivative contracts referencing 25 agricultural, metals and energy commodities (the...more
COVID-19 has had an unprecedented effect on the securities and derivatives markets. Public companies and market participants face significant operational challenges and unpredictability, including evolving and novel...more
In 2019, the Commodity Futures Trading Commission (CFTC or Commission) experienced significant changes in leadership, including the appointment of Dr. Heath P. Tarbert as the Commission’s 14th Chairman.
The Division of...more
2/3/2020
/ CFTC ,
Cooperation ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Derivatives ,
Derivatives Clearing Organizations ,
Digital Assets ,
Enforcement ,
Enforcement Actions ,
Enforcement Statistics ,
Examination Priorities ,
Family Offices ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Intermediaries ,
Market Manipulation ,
Price Manipulation ,
Regulatory Oversight ,
Regulatory Standards ,
Rulemaking Process ,
Spoofing ,
Swap Clearing ,
Swaps ,
Volcker Rule
The Commodity Futures Trading Commission (CFTC or Commission) at year-end issued one final and two proposed rulemakings. The proposed rules are potentially significant for all swap market participants, and the final rules are...more
1/8/2020
/ CFTC ,
Chief Compliance Officers ,
Comment Period ,
Corporate Governance ,
Cross-Border Transactions ,
Derivatives ,
Derivatives Clearing Organizations ,
Major Swap Participants ,
Market Participants ,
Proposed Rules ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swap Execution Facilities ,
Swaps
The Commodity Futures Trading Commission (CFTC) is proposing a significant, new reporting burden on swaps reporting parties and on swaps data repositories (SDRs). The proposal would impose new requirements on SDRs to verify...more
5/23/2019
/ Central Counterparties ,
CFTC ,
Comment Period ,
Commodity Exchange Act (CEA) ,
Derivatives ,
Derivatives Clearing Organizations ,
Major Swap Participants ,
Proposed Amendments ,
Reporting Requirements ,
Swap Data Repositories ,
Swap Dealers ,
Swaps