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Commodity Futures Trading Commission (CFTC)

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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
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The CFTC enters the regulatory fray over firms' use of off-channel communications for work
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These changes would establish governance and fitness requirements with respect to market regulation functions, as well as related conflict of interest standards, requirements relating to ...
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The CFTC proposes rules to require an FCM to ensure that a customer does not withdraw funds from its account with the FCM if the ...
"Cybersecurity risks represents an ongoing threat to Federal government agencies .... The ability of Federal agencies such as the SEC and CFTC to securely maintain ...
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The CFTC and the SEC finalize their amendments to Form PF. Firms would have one year at least to comply.
CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes to require that FCMs, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to ...
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Predictions already note that as more of the financial services industry adopts artificial intelligence technologies, the bad guys will as well. Envision dueling AI
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This proposed CFTC rule, which would accept comments until Feb. 13, 2024, would, among other things, seek to make it easier for swap dealers to ...
CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes rules to ensure clearing member funds and assets receive the proper treatment in the event a derivatives clearing organization enters bankruptcy by ...

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