On August 26, 2024, the Securities and Exchange Commission (SEC) announced an order against a registered investment adviser, Sound Point Capital Management, LP, for its failure to “establish, maintain, and enforce written...more
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)
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