Commodity pool operators must prepare three types of periodic financial statements. 1. Describing their financial condition 2. Detailing any income loss and 3. Reporting changes ...
In the financial services industry, time is often marked by before and after Dodd-Frank. Before the reform law took effect in 2010, swap trading was ...
Turns out 2015 wasn’t a record year for the CFTC after all. Last fall, the Commission boasted of having assessed record fines during the fiscal ...
The whistleblower programs established at both the SEC and the CFTC in the wake of the Dodd-Frank Act are alive and well. Last week, the ...
CFTC rules require principals involved in futures or swaps deals with registered entities to submit fingerprints so the FBI can look for any criminal past. ...
The season of giving produced two new rules from the CFTC – one a proposal that would dictate cybersecurity actions and the second a final ...
The National Futures Association has announced the new annual deadline for commodity pool operators and commodity trading advisors that believe they continue to be exempt ...
Commodity trading advisors need not worry any longer about that CFTC rule requiring them to record oral communications around swaps transactions. The Commission this week ...
Only days after the SEC proposed a rule to shed light on dark pools (IA Watch, Nov. 19, 2015), the CFTC put forth a new ...
The FY2015 enforcement numbers for the CFTC are in and they – like the SEC’s – boast of record fines. The Commission ordered $3.14 billion ...