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Commodity Futures Trading Commission (CFTC) (35)
Your search for Commodity Futures Trading Commission (CFTC) returned 35 results.
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6/27/2019 | Content area: Investment Adviser
Addressing concerns stemming from “opportunistic strategies” in the credit derivatives markets has been identified as a top priority of the chairmen o...
6/27/2019 | Content area: Investment Adviser | CPO/CTA
Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman...
11/29/2018 | Content area: Investment Adviser
In October, the SEC gave the industry only 30 days to comment on its long-delayed swaps rules and attracted 21 comments before the deadline closed las...
1/25/2018 | Content area: Investment Adviser | CPO/CTA
Bitcoins and other cryptocurrencies may be all the rage but the SEC’s Division of Investment Management states to slow down.   Two advisers that sough...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
6/22/2017 | Content area: Investment Adviser | CPO/CTA
Keeping track of one regulator’s rules can be challenge enough for a diligent compliance officer. The task can be confounding when you have multiple r...
6/16/2016 | Content area: Investment Adviser | CPO/CTA
Dodd-Frank split the baby when it came to regulators overseeing swaps. The SEC would supervise security-based swaps (SBS) and the CFTC all others. Tha...
6/02/2016 | Content area: Investment Adviser | CPO/CTA | Private Fund
Engaging in a continuous pattern of fraudulent “scheme trades” to circumvent the provisions of an incentive fee structure has landed a hedge fund mana...
4/29/2015 | Content area: Investment Adviser | Broker-Dealer
This proposal significantly improves on the approach originally proposed in 2013. It now centers on activity that is carried out by a non-U.S. person...
12/19/2014 | Content area: Investment Adviser
    -->LCH.Clearnet Limited and LCH.Clearnet LLC December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVI...
12/19/2014 | Content area: Investment Adviser
    -->ICE Clear Credit LLC December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MA...
12/19/2014 | Content area: Investment Adviser
    -->Chicago Mercantile Exchange December 19, 2014 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVEST...
11/20/2014 | Content area: Investment Adviser | CPO/CTA
The difficulty of getting a handle on new rules for trading derivatives intensifies when two regulators don’t agree.   Take the segregation of margin ...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Nothing in this title shall relieve any person of any obligation or duty, or affect the availability of any right or remedy available to the Commodity...
12/26/2013 | Content area: Investment Adviser
      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC December 26, 2013 ...
8/19/2013 | Content area: Investment Adviser | CPO/CTA
Two years of work culminated last week with a new final rule from the CFTC that adds a new phrase to the regulatory lexicon: "substituted compliance."...
8/13/2013 | Content area: Investment Adviser
This Guidance Update summarizes views of the Division regarding certain disclosure and compliance matters relevant to funds that invest in commodity i...
7/10/2013 | Content area: Investment Adviser
    Investment Advisers Act of 1940 — Section 17(f) Chicago Mercantile Exchange July 10, 2013 RESPONSE OF THE OFFI...
4/10/2013 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is a joint SEC and CFTC final rule, promulgated in 2013, to prevent identity theft. It's called the Identity Theft Red Flags Rules.
11/26/2012 | Content area: Investment Adviser | CPO/CTA | Private Fund
Many believe it's only a matter of time before the SEC finalizes its general solicitation proposal, opening up private fund offerings to advertising (...


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