I do not think that the staff of the Commission should be supporting this kind of “window dressing” – giving the impression of greater security ...
The Division will not recommend an enforcement action under Regulation 1.25 against an FCM that continues to invest, on or after October 14, 2016, its ...
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend certain of its regulations applicable to the Annual Report that each person registered ...
These actions are part of our overall effort to address the cross-border implications of swap activity, while at the same time harmonizing derivatives regulation with ...
Unfortunately, the Commission’s uncoordinated approach to cross-border harmonization has allowed foreign regulators to respond in kind. The CFTC’s and European Union’s (EU) tortured and repeatedly ...
The Divisions have not recommended that the Commission take an enforcement action against a Non-U.S. SD (whether or not an affiliate of a U.S. person) ...
Barclays failed to implement and maintain adequate systems for reconciling invoices from exchange clearinghouses with the amounts of fees actually charged to its customers through ...
The Commodity Futures Trading Commission ("Commission") is proposing to amend Commission regulation § 3.10(c)(2) and (3). The proposed amendment would amend the conditions under which ...
The award is the fourth award made by the CFTC’s Whistleblower Program to a whistleblower who provided valuable information about violations of the Commodity Exchange ...
while it is essential that we engage in recovery and resolution planning, our goal is never to get to a situation where either of those ...