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Commodities Futures Trading Commission Data Collection

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -
EDRM - Electronic Discovery Reference Model

Revolutionary Smartphone Data Collection Technology Helps Corporations Enforce and Comply with Regulatory Rules

The use of smartphones in the workplace is commonplace. Smartphones can offer many benefits to employees and employers, such as increased productivity, communication, collaboration, and flexibility. Hence, many companies...more

Epiq

Blockchain Considerations for Litigation and Investigations

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More organizations continue to adopt blockchain technologies. According to Grand View Research, the global blockchain technology market value was estimated at 10.02 billion in 2022. Analysts forecast a compound annual growth...more

Jones Day

Considerations for Addressing DOJ’s Corporate Compliance Guidance on Mobile Devices and Messaging Platforms

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In light of the DOJ’s most recent guidance on the use of personal devices and third-party messaging applications by corporate personnel, this White Paper addresses issues and challenges that companies are facing in this area...more

J.S. Held

Off-Channel Communications: How Financial Services Organizations Can Address Regulators’ Latest Target

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As a number of recent headlines demonstrate, the U.S. Securities and Exchange Commission (SEC) and other regulators have fined and penalized employers and employees in the financial services industry for non-compliance with...more

American Conference Institute (ACI)

Building a Data-Driven Anticorruption Compliance Program

For more than two years now, heads of the U.S. Department of Justice have maintained a steady drumbeat that they expect companies today to have in place a sound data analytics compliance program to proactively mitigate risks....more

Morrison & Foerster LLP

Preserving Data from Personal Devices and Third-Party Messaging Platforms – What Should Companies Do?

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Deputy Attorney General (DAG) Lisa Monaco’s September 15, 2022, memorandum on revisions to the Department of Justice’s (DOJ) Corporate Enforcement Policies (the Monaco Memo) reflects that preservation of business...more

Faegre Drinker Biddle & Reath LLP

State Attorneys General Updates From Michigan, New York, South Carolina, Pennsylvania, California, Texas, New Hampshire, Iowa and...

In this edition of Faegre Drinker’s State Attorneys General Update, we discuss: The Michigan AG’s notice of intended action, issued to three pharmacies regarding their pricing of COVID-19 tests...more

Spilman Thomas & Battle, PLLC

Decoded: Technology Law Insights, Volume 2, Issue 6

Binance Probed by CFTC Over Whether U.S. Residents Traded - "Binance, which has an office in Singapore but says it lacks a single corporate headquarters, hasn’t been accused of misconduct and the investigation may not lead...more

Robins Kaplan LLP

Financial Daily Dose 3.22.2021 | Top Story: Canadian Pacific and KC Southern Strike $25B Rail Merger

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Mega rail news to start our week, as Canadian Pacific will joined forces with Kansas City Southern in a $25 billion deal, “creating the first railroad to traverse Canada, the U.S. and Mexico.” Industry watchers suggest that...more

Morgan Lewis

CFTC Proposes Streamlined Version of Form CPO-PQR

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The Commodity Futures Trading Commission (CFTC) has proposed amendments to Form CPO-PQR, streamlining the form but requiring commodity pool operators (CPOs) to report legal entity identifiers to facilitate the CFTC’s data...more

Katten Muchin Rosenman LLP

Bridging the Week - March 2019

The Commodity Futures Trading Commission determined not to appeal a decision of a federal court that a well-known proprietary trading firm and its principal did not engage in manipulation or attempted manipulation as charged...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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New evidence suggests that California’s PG&E repeatedly “delayed a safety overhaul” on a high-voltage transmission line “that is a prime suspect behind the deadliest wildfire in California history.” How repeatedly? Try 5...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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In January 2017, Alibaba co-founder Jack Ma was proudly promising to create 1 million jobs in America—a heady promise but one not unthinkable given Alibaba’s massive scale. Fast forward 20 months and a growing Sino-American...more

Cadwalader, Wickersham & Taft LLP

CFTC Staff Issues Final Swap Dealer De Minimis Exception Report

On August 15, 2016, Staff of the U.S. Commodity Futures Trading Commission (“CFTC”) published a final report regarding the de minimis exception from swap dealer registration (“Staff De Minimis Report”).  The Staff De Minimis...more

K&L Gates LLP

Brussels Regulatory Brief: April

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Antitrust and competition - A welcome limitation on the investigatory powers of the Commission when requesting information from companies - On 10 March 2016, the Court of Justice of the European Union (“CJEU”) set aside...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

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Non-Enforcement - Investment Management Division Director Address to Investment Company Institute - Division Director David Grim addressed the ICI on December 16, 2015. In his remarks, Grim noted 2015 was the 75th...more

Proskauer - Corporate Defense and Disputes

SEC Chair Calls for Reexamination of Treasury Market Regulations in Light of High Speed Electronic Trading

On October 20, 2015, SEC Chair Mary Jo White gave the keynote address at the “Evolving Structure of the U.S. Treasury Market” conference organized by the U.S. Department of Treasury and the Federal Reserve Bank of New York....more

Eversheds Sutherland (US) LLP

FERC Proposes Expansive “Connected Entity” Reporting Requirement

The Federal Energy Regulatory Commission (FERC) has proposed requiring the operators of centralized wholesale power markets to collect and provide to FERC a broad range of market participant data, including (i) each market...more

Orrick - Finance 20/20

CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps

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On August 19, The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments to existing rules relating to swap data reporting in connection with cleared swaps. The amendments are aimed at providing additional...more

Mintz - Public Finance Viewpoints

Financial Services Legislative and Regulatory Update -- April 29‚ 2013

In This Issue: Leading the Past Week; Legislative Branch; and Executive Branch. Excerpt from Leading the Past Week - The past week could be best described by one word. Chaos. In the House, a scheduled...more

Stinson - Corporate & Securities Law Blog

CFTC’s Initial Attempts At Data Collection Fail

Since the beginning of 2013, the CFTC has required certain market participants to report their interest rate and credit index swap trades to a swap data repository, or SDR. CFTC Commissioner Scott D. O’Malia recently...more

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