For example, a CPO that used generative AI to update a disclosure document or prepare periodic account statements for a commodity pool would still be ...
The amendments are intended to clarify, simplify and enhance the utility of those regulations for registered entities, market participants and the Commission
The CFTC amends the portfolio requirement thresholds for a qualified eligible person and makes other technical changes
The CFTC's agenda includes one item, and it's directed at CPOs/CTAs
This CFTC final rule, which becomes effective Sept. 16, would permit a foreign board of trade (FBOT) registered with the Commission to provide direct access ...
The CFTC proposes rule changes concerning event contracts in certain excluded commodities. Comments are due July 9
The CFTC amends its large trader position reporting requirements for futures and options. This final rule becomes effective Aug. 2, and the compliance date begins ...
This new CFTC final rule, which imposes minimum capital requirements on swap dealers and major swap participants, becomes effective in June, and the compliance date ...
This rule is effective May 31, 2024
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