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 ,
Enforcement Authority ,
Extraterritoriality Rules ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Price Manipulation ,
Regulatory Requirements ,
Relief Measures ,
Spoofing ,
Swap Dealers
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 ,
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Enforcement Actions ,
Enforcement Statistics ,
Examination Priorities ,
Family Offices ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Intermediaries ,
Market Manipulation ,
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Regulatory Oversight ,
Regulatory Standards ,
Rulemaking Process ,
Spoofing ,
Swap Clearing ,
Swaps ,
Volcker Rule
Introduction -
The Commodity Futures Trading Commission (CFTC or Commission) recently took several steps to further encourage cooperation with and self-reporting to the Commission’s Division of Enforcement (Division). In...more
In January of this year, the Commodity Futures Trading Commission's (CFTC or Commission) Division of Enforcement (the Division) issued revised cooperation credit guidelines for companies, and its first-ever cooperation...more