the Complaint alleges that Deutsche Bank’s swap data reported before and after the System Outage revealed persistent problems with the integrity of certain data fields, ...
The Defendants made numerous misrepresentations to investors, including on TradeMasters public website and on YouTube videos, to induce them to purchase the software. Schacke and ...
As I have noted before, clearinghouse resiliency, as well as recovery and resolution planning, are high priorities for the CFTC. In addition to helping lead ...
The CFTC Order finds that on January 8, 2016, the SEC entered an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of ...
CFTC Commissioner J. Christopher Giancarlo regrets possible drop to $3 billion threshold for swap...
Today’s final staff report regarding the swap dealer de minimis exception contains no recommendations to the Commission. That is not helpful. However, I understand that ...
The CFTC’s Complaint had alleged that between August 2008 and March 12, 2014, the Lebens, by and through the commodity pool Structured Finance Group Corporation ...
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is amending its regulations to revise or repeal certain provisions related to the requirement that a derivatives ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend certain provisions of its regulations concerning Chief Compliance Officers (“Proposal”). The regulation that ...
Collins and Suite, through their company, STA Opus, fraudulently solicited customers by falsely representing that STA Opus’ commodity pool had positive annual rates of return, ...
Although Federal Reserve accounts for customer funds held by systemically important clearinghouses do not exist today, they are allowed under the Dodd-Frank Act, and we ...