Commodity Futures Trading Commission (CFTC)

A CFTC staff advisory released July 25 clarifies that additional supervisory reporting and consultative relationships for CCOs of swap dealers, major swap participants, and futures ...

The award is the fourth award made by the CFTC’s Whistleblower Program to a whistleblower who provided valuable information about violations of the Commodity Exchange ...

Regulation 3.3 implements sections 4d(d) and 4s(k) of the Commodity Exchange Act (the “CEA”) by, among other things, establishing CCO reporting line requirements for swap ...

while it is essential that we engage in recovery and resolution planning, our goal is never to get to a situation where either of those ...

Clearing takes the decision-making about the appropriate collateralization of standardized derivatives products out of the hands of individual counterparties – many of whom were woefully ...

You state that each Pool is a “fund of funds,” in that it invests all of its assets in other unaffiliated collective investment vehicles. You ...

The Order requires Agrocorp to pay a $150,000 civil monetary penalty and prohibits it from committing future violations of CFTC Regulation 19.02, as charged. The ...

The Pool is the Feeder Fund portion of a master-feeder structure that invests substantially all of its investable assets in the “C” (the “Master Fund,” ...

The CFTC has issued a new staff advisory reminding all registrants of their obligation to “regularly” review the economic sanctions programs and the Department of ...

Because Barclays Bank self-reported and cooperated with the CFTC over filing inaccurate large trader reports for nearly one year, its settlement resulting in a $560,000 ...