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CFTC: Recordkeeping (63)
Your search for CFTC: Recordkeeping returned 63 results.
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5/03/2018 | Content area: CPO/CTA
It’s very common for CPOs and CTAs to hire third parties to house their books and records. Sources have shared with CPO/CTA Watch NFA guidance that ma...
9/25/2017 | Content area: CPO/CTA
DMO will not recommend that the Commission commence an enforcement action against a Reporting Party for failure to comply with a refresh update requir...
7/13/2017 | Content area: CPO/CTA
The passage of time into July triggered a new NFA requirement that CPOs and CTAs report their current assets divided by current liabilities and total ...
6/01/2017 | Content area: CPO/CTA
The CFTC’s new final rule on recordkeeping (CPO/CTA Watch, May 25, 2017) appeared in the Federal Register May 30. It announces that the rule will take...
5/25/2017 | Content area: CPO/CTA
The January proposal from the CFTC to modernize its recordkeeping rule attracted only 16 comments, but some urged the Commission to mirror its rules o...
2/01/2016 | Content area: CPO/CTA
Let me also note that we have been continuing to work with the European Commission on the issue of “equivalence,” so that European firms can continue ...
1/07/2016 | Content area: CPO/CTA
CFTC rules require principals involved in futures or swaps deals with registered entities to submit fingerprints so the FBI can look for any criminal ...
12/24/2015 | Content area: CPO/CTA
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is amending Commission Regulation 1.35(a) to: Provide that all records requi...
12/18/2015 | Content area: CPO/CTA
Today’s final rule clarifies that members of exchanges and swap execution facilities not registered with the Commission—typically, end-users—do not ha...
12/18/2015 | Content area: CPO/CTA
I believe the final Rule 1.35 generally gets the balance right. Yet, I must give a plain and simple warning: The elimination of unnecessary recordkeep...
12/10/2015 | Content area: CPO/CTA
Commodity trading advisors need not worry any longer about that CFTC rule requiring them to record oral communications around swaps transactions. The ...
12/08/2015 | Content area: CPO/CTA
Extension of relief provided in CFTC Staff Letter No. 14-147, which relieves CTAs from the requirement to record oral communications under Regulation ...
8/20/2015 | Content area: CPO/CTA
It’s been five years since Congress passed Dodd-Frank and the CFTC still hasn’t implemented required swaps data reporting rules. But it took a step in...
8/19/2015 | Content area: CPO/CTA
This proposal would ensure there is a simple, consistent process surrounding the reporting workflows for cleared swaps. For example, the proposal woul...
8/19/2015 | Content area: CPO/CTA
This proposed rulemaking represents a major step toward making our data more accurate. With this rulemaking, we intend to provide clarity to swap coun...
8/19/2015 | Content area: CPO/CTA
Today’s proposal demonstrates that the Commission can revisit Dodd-Frank rulesets and make needed adjustments based on its implementation experience o...
5/07/2015 | Content area: CPO/CTA
The CFTC is proposing to amend the trade option exemption in its regulations, as described herein, in the following subject areas: Reporting requireme...
5/01/2015 | Content area: CPO/CTA
This case puts forth that the firm did not have adequate policies or procedures governing the transfer of positions between customers’ accounts, and n...
4/30/2015 | Content area: CPO/CTA
This case involves an alleged scheme to lure investors to participate in a commodity pool that traded leveraged or margined retail off-exchange foreig...
4/27/2015 | Content area: CPO/CTA
The NFA's complaint alleged that Spartan failed to provide periodic account statements to pool participants of a pool that it operated and failed to d...


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