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 ,
Enforcement ,
Enforcement Actions ,
Enforcement Statistics ,
Examination Priorities ,
Family Offices ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Intermediaries ,
Market Manipulation ,
Price Manipulation ,
Regulatory Oversight ,
Regulatory Standards ,
Rulemaking Process ,
Spoofing ,
Swap Clearing ,
Swaps ,
Volcker Rule
The Commodity Futures Trading Commission (CFTC or Commission) at year-end issued one final and two proposed rulemakings. The proposed rules are potentially significant for all swap market participants, and the final rules are...more
1/8/2020
/ CFTC ,
Chief Compliance Officers ,
Comment Period ,
Corporate Governance ,
Cross-Border Transactions ,
Derivatives ,
Derivatives Clearing Organizations ,
Major Swap Participants ,
Market Participants ,
Proposed Rules ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swap Execution Facilities ,
Swaps
On June 21, 2019, the Securities and Exchange Commission (SEC or Commission) adopted a package of rules and rule amendments (Rules) that set forth the capital, margin and segregation requirements for security-based swap...more
7/23/2019
/ Amended Rules ,
Broker-Dealer ,
Capital Requirements ,
CFTC ,
Credit Default Swaps ,
Final Rules ,
Major Swap Participants ,
Margin Requirements ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps
The Commodity Futures Trading Commission (CFTC) is proposing a significant, new reporting burden on swaps reporting parties and on swaps data repositories (SDRs). The proposal would impose new requirements on SDRs to verify...more
5/23/2019
/ Central Counterparties ,
CFTC ,
Comment Period ,
Commodity Exchange Act (CEA) ,
Derivatives ,
Derivatives Clearing Organizations ,
Major Swap Participants ,
Proposed Amendments ,
Reporting Requirements ,
Swap Data Repositories ,
Swap Dealers ,
Swaps
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
/ Central Counterparties ,
CFTC ,
Cooperation ,
Cross-Border ,
Dodd-Frank ,
Enforcement Actions ,
Margin Requirements ,
Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
SEFs ,
Self-Reporting ,
Spoofing ,
Swaps ,
Virtual Currency ,
Volcker Rule