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 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
Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in 2017. Tarbert ...
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that ...
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based ...
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they are “subject ...
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should ...
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges presented by ...
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his ...
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator. The Commission is proposing simplifying registration and ...
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. ...
Swaps and counterparties incorporated into compliance rules
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm ...
If you do not receive this within five minutes, please try and sign in again. If the problem persists, please email: