All associated persons that engage in swaps activities will have to undergo an online proficiency exam beginning in early 2020, according to the NFA. ...
The National Futures Association is concerned that a number of futures commission merchants and introducing brokers have failed to provide anti-money laundering training and/or conduct ...
Calling virtual currencies “unlike any commodity that the CFTC has dealt with in the past,” the Commission has ordered designated contract markets, swap execution facilities ...
In an effort not to “disadvantage” parties linked in older swap contracts, the CFTC proposes that these entities should get a pass from having to ...
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 ...
Institutional investors that don’t control a commodity fund’s “operations or its investment decisions” could qualify for an exemption from the CFTC’s positions’ aggregation rule and ...
A Wall Street fight over credit default swaps that involves an RIA has captured the attention of CFTC staff. Three agency divisions jointly released ...
It’s been one year since the CFTC announced its LabCFTC as a means to encourage FinTech innovations to keep markets on the cutting edge (CPO/CTA ...
Earlier this year, CFTC Chairman Christopher Giancarlo said it was time to recalculate how to value swaps and he promised a white paper on the ...
Dan Berkovitz once served as the CFTC’s general counsel. If President Trump has his way, Berkovitz will now get to serve as a commissioner. ...