It’s not often a regulator’s enforcement staff gets taken to the proverbial woodshed by a federal judge but that’s what’s happened in an embarrassing case ...
The burgeoning use of artificial intelligence has inspired the CFTC to issue new guidance targeted at all registered entities, including CPOs and CTAs
Violators included “supervisors and senior-level employees”—including some attached to compliance—who used platforms, such as WhatsApp and text messaging, contrary to firm P&Ps
Predictions already note that as more of the financial services industry adopts artificial intelligence technologies, the bad guys will as well. Envision dueling AI
If questions remain about which regulator—the SEC or the CFTC—will take the lead on oversight of digital assets, a new report from the CFTC lays ...
A divided Commission voted Oct. 2 to amend portfolio thresholds and to make other proposed changes that would require CPOs/CTAs to disclose risks, conflicts, their ...
Like the SEC, the CFTC has now imposed over $1 billion in penalties for charges tied to offline communications violations
It’s unusual for the CFTC to revoke a large firm’s registration, especially for violations of regulatory laws overseen by another regulator
"By now you’d think the NFA would have had a rule in place that prohibits fraud around the use of Bitcoin and Ether. But it ...
The CFTC has decreed a new system that would require a unique product identifier and product classification for swap recordkeeping and reporting. The new order ...