2020 saw continuity in CFTC leadership, programs, and direction from 2019. Overall, the Commission enjoyed an unusually heavy rulemaking calendar and continued the direction of its enforcement program from 2019.
On the...more
3/2/2021
/ Anti-Money Laundering ,
Bank Secrecy Act ,
CFTC ,
Civil Monetary Penalty ,
Compliance ,
Coronavirus/COVID-19 ,
Corruption ,
Department of Justice (DOJ) ,
Digital Assets ,
Enforcement Actions ,
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Extraterritoriality Rules ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Price Manipulation ,
Regulatory Requirements ,
Relief Measures ,
Spoofing ,
Swap Dealers
On September 10, 2020, the Commodity Futures Trading Commission’s (CFTC, or the Commission) Division of Enforcement (Division) director issued a memorandum to Division staff setting forth a framework for evaluating the...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
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Cooperation ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Derivatives ,
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Intermediaries ,
Market Manipulation ,
Price Manipulation ,
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Regulatory Standards ,
Rulemaking Process ,
Spoofing ,
Swap Clearing ,
Swaps ,
Volcker Rule
What can energy companies expect from CFTC enforcement in 2019?
The Commodity Futures Trading Commission (CFTC) engaged in robust enforcement in 2018 - filing 83 enforcement actions in fiscal year 2018, obtaining $947...more
For the Commodity Futures Trading Commission (CFTC or Commission), 2018 was characterized by (1) an active enforcement program emphasizing cooperation and self-reporting, (2) increasing cross-border tension over supervision...more
2/4/2019
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Cross-Border ,
Dodd-Frank ,
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Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
SEFs ,
Self-Reporting ,
Spoofing ,
Swaps ,
Virtual Currency ,
Volcker Rule
Within a week of the ceremonial swearing in of its last commissioner, the now fully formed Commodity Futures Trading Commission (Commission or CFTC) issued 17 enforcement orders and filed one complaint. These initial...more