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
On May 14, 2019, the Joint Audit Committee (JAC) issued two regulatory alerts calling for futures commission merchants (FCMs) to review policies and procedures and account agreements in situations where an FCM carries...more