The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending the de minimis exception within the “swap dealer” definition in the Commission’s regulations by establishing ...
The United Kingdom (“UK”) has provided formal notice of its intention to withdraw from the European Union (“EU”). The withdrawal may happen as soon as ...
I take seriously, however, the concern about potential misuse of this provision in ways that are not intended. The preamble makes it clear that ...
In CFTC Action, Federal Court Orders Precious Metals Firm and its Principal to Pay More than $3.6 million in Monetary Sanctions for Precious Metals Fraud ...
Federal Court Orders Precious Metals Dealer and Its Owner to Pay More than $2.3 Million for Fraud and Misappropriation in Gold and Silver Scheme
Federal Court Orders Forex Fraudster and His Companies to Pay More Than $2.2 Million for Fraudulent Solicitation and Misappropriation of Customer Funds
Bridge Over Brexit. Two weeks ago, the CFTC along with the Bank of England and the Financial Conduct Authority (FCA), with support from Her ...
While EMIR 2.2 requires a number of implementation steps such that application of EMIR 2.2 to U.S. CCPs will likely not take effect until 2021 ...
Foreign Trading Platform and Its CEO to Pay $990,000 for Illegal Bitcoin-Related Transactions with U.S. Customers
CFTC Division of Enforcement Issues Advisory on Violations of the Commodity Exchange Act Involving Foreign Corrupt Practices