The revisions would make permanent certain temporary alternative compliance frameworks
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
The Commodity Futures Trading Commission (the ‘‘Commission’’) is proposing to amend part 13 of its regulations to eliminate the provisions that set forth the procedure ...
Both final rules codify years’ worth of agency no-action letters and seek to harmonize CFTC rules with the SEC’s
This final rule provides an exemption from registration for CPOs and CTAs of family offices
This final rule would eliminate the filing requirements for Forms CPO–PQR and CTA–PR for certain classes of CPOs and CTAs
Foreign travel figured into the NFA’s year
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs
The changes harmonize the CFTC’s rules with the SEC’s
The CFTC’s new report also played up its parallel criminal cases
Rule requires P&Ps to protect customer records and information
New rules take effect with the first of the year
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision
Only when informed by the counterparty of irregularities did Wells seek to investigate and remedy its violations
“The industry looks to these types of resolutions in structuring their own compliance” programs
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
RELEASE Number 8062-19 October 24, 2019   CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is seeking comment on a proposed amendment to the margin requirements for uncleared swaps for swap dealers ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.

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