The Division will not recommend that the Commission take an enforcement action against a non-U.S. SD or a non-U.S. MSP established in Australia, Canada, the ...
The trading liquidity of U.S. Treasuries and their associated futures contracts is of particular interest: Treasuries are a benchmark for other U.S. and world markets, ...
The CFTC also implemented enhancements to increase the effectiveness and strength of the agency’s enforcement program. New rules and procedures were put in place to ...
The Division also recognizes the amount of time and resources that a CCO must dedicate to the preparation of the ACR and is of the ...
Before the Commission grants an exemption from DCO registration, it must first execute a Memorandum of Understanding (“MOU”) with the clearing organization’s home country regulator. ...
Suite and STA Opus fraudulently solicited customers by falsely representing that STA Opus’ commodity pool had positive annual rates of return, when in fact, ...
In thinking about RegTech, however, I think it is critical that we include cyber-security and data-security as part of the broader discussion. Indeed, the increasingly ...
There continues to be some confusion among market participants, particularly with respect to the execution of off-SEF block trades, as to whether counterparties may execute ...
The commodity futures trading laws generally require that futures trades be executed on a futures exchange. However, the laws allow for exceptions to that requirement, ...
What the CFTC should have done is enhance the professional conduct of swaps execution through licensure, testing and adoption and abidance of approved codes of ...