Chairman seeks to fix "flaws" in the rules
After the initial privacy notice, another one is unnecessary unless these changes occur
CPOs examined by NFA staff beginning this month can expect to be asked about what they’ve done to comply with the SRO’s new internal controls ...
Luke Adrian, the CEO of the CPO East West Global in Highland Park, Ill., notes that the firm’s settlement of NFA charges is the first ...
Commission seeks cooperation, promises transparency
Late last year, the NFA sought to help CPOs design their compliance programs (CPO/CTA Watch, Dec. 13, 2018). The SRO’s interpretative notice for CPO internal ...
An unanimous vote greeted a new interim final rule from the CFTC last week that aims to bring “regulatory certainty” to an international swaps market ...
2021 seems like a long time away but it can be on you faster than you think. The NFA’s reminding firms that its amended rule ...
After studying futures orders over the past six years, the CFTC concludes that more and more transactions are automated as opposed to manual and almost ...
The rule amends the de minimis exception within the agency’s definition of a swap dealer