The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that ...
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based ...
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they are “subject ...
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should ...
The setting was Rome, home to an ancient empire, where CFTC Chairman J. Christopher Giancarlo brought up the “new futurism” and the challenges presented by ...
You have to wonder if Glenn Graham even wanted to be in the commodity investment business anymore. In a new enforcement settlement, Graham and his ...
There are only 16 CFTC registered derivatives clearing organizations but they just got a kiss from their regulator. The Commission is proposing simplifying registration and ...
Think of it as a book you hope you never need to read. The CFTC’s Division of Enforcement has put out its 59-page enforcement manual. ...
Swaps and counterparties incorporated into compliance rules
The recent NFA exam of a CPO adviser in the south went swimmingly, according to the firm’s CCO. One reason may be because the firm ...