Fines were adjusted in 2023
One case the Commission highlighted involved a hedge fund and its CFO charged with providing false or misleading information to swap counterparties of a private ...
This letter extending CFTC Letter 19-19 shall remain in effect until the earlier of either Aug. 12, 2025 or the effective date of a ...
The proposal aims to give the market “added flexibility,” the CFTC maintains. It also summarizes global efforts to aid the transition away from LIBOR
The notification requirement kicks in “when specified market or other events affect a commodity pool’s ability to fulfill its participant obligations”
Several investors asked him to cease trading in their accounts. “However, Chopra failed to honor these requests and lied by misrepresenting that he had ceased ...
"I believe any regulatory response to digital assets must include measures to bring additional transparency to the conduct that makes this innovation possible"
If your risk assessment deems it appropriate, you can make your 2023 branch office exams remote as well, the NFA states
Mistakes around these items cause the most exam deficiencies among CPOs/CTAs that are NFA members
Enforcement action will not be recommended against an SD for a failure to comply with the CFTC Margin Rule solely to the extent such compliance ...