The Commission Sept. 8 took another step to accept a foreign regulator’s approach to overseeing swaps. In this case, it was the Japan Financial Services ...
It’s been said that examiners from the National Futures Association are generally easier to work with than SEC examiners. That view gains credence with the ...
The CFTC now has memoranda of understanding with its regulatory counterparts north and south of the U.S. border. The Commission has announced its latest MOU, ...
Compare the Advisers Act’s books and records rule against the CFTC’s rule and you’ll notice many similarities. Both require that you maintain records from the ...
The CFTC is giving you more time to tell it what you think of its recent proposal to give CPOs an extra 30 days to ...
Repeated swap reporting violations by Deutsche Bank AG have led the firm and the CFTC to seek the intervention of a Court-appointed monitor to ensure ...
The increased use of central counterparties (CCPs) as regulators the world over have ordered mandatory clearing of swaps and other products now turns attention to ...
It wouldn’t affect a large number of CPOs, but the CFTC has proposed that certain pool operators be able to skip their initial annual audit ...
Without action from the CFTC, the threshold for swap dealer registration will fall from the current $8 billion level to $3 billion in 2017. A ...
Futures commission merchants, swap dealers and major swap participants will get an extra 30 days to file their chief compliance officer annual reports under proposed ...