Home CPO/CTAs CPO/CTA Latest News Page 35

CPO/CTA Latest News

Latest

Books and Records

CFTC penalizes ‘widespread use’ of unapproved communications

-

August 10 2023

Businessman packaging and holding brown cardboard box with documents and personal office supplies because fired from work.

Commodity Futures Trading Commission (CFTC)

SEC case causes CFTC to boot CPO/CTA

Bitcoin

NFA

NFA approves Bitcoin, Ether rule

Sunlight

Swaps

CFTC orders classification system for swaps

Commodity Futures Trading Commission (CFTC)

CFTC FY ’22 enforcement penalties: $2.5B

<img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" class="entry-thumb" src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" alt=""/>

Likely that some funds will have to welcome a new regulator: The CFTC

Commodity Futures Trading Commission (CFTC)

-

February 28 2011

You have until April 12th to tell the CFTC what you think of its new proposal to eliminate exemptions that have kept many hedge funds ...

<img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" class="entry-thumb" src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" alt=""/>

SEC/CFTC subpoenaing data related to flash crash

Examinations Enforcement: SEC Actions

-

June 28 2010

Some firms that are considered the highest frequency traders have received subpoenas for data designed to help regulators understand the cause of the May 6 ...

<img width="" height="" alt="" data-src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" class="entry-thumb lazyload" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" /><noscript><img width="" height="" class="entry-thumb" src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper/images/no-thumb/thumbnail.png" alt=""/>

Joint SEC and CFTC report supports broader fiduciary duty standard

SEC: Rulemaking

-

October 16 2009

Among the 20 recommendations contained in a 96-page joint report released Friday by the SEC and the CFTC is one that supports congressional efforts to ...

1...33 3435Page 35 of 35

<img src="https://www.regcompliancewatch.com/wp-content/themes/Newspaper-child/images/modal/modalheader-rcw-rebrand.png" alt="rcw" />

Register now

Get limited access to industry news, analysis and best practice guides, plus regular email updates

Email address

First name

first name

Last name

last name

Organisation

Organisation

Country Phone number Job title

Job Title

To register, please review and accept our terms and conditions and privacy notice. I accept: sourceRegistration

Copyright PEI Media

Not for publication, email or dissemination