the Defendants used Draven’s website, among other methods, to solicit potential pool participants to invest with Draven by telling them that their funds would be ...
the Division will not recommend that the Commission take enforcement action against CABEI for failure to comply with the Clearing Requirement. This letter does not, ...
The Request Letter represents that ESM’s mission is to provide financial assistance to a European Union member state that is also a member of the ...
NADB was created under the auspices of the North American Free Trade Agreement as a collaboration between the governments of the United States and Mexico. ...
If the U.S. accepts European regulation of American financial companies, it would set a dangerous precedent—potentially opening the door to all manner of other interference. ...
Cargill, a provisionally registered swap dealer, provided hundreds of counterparties and its SDR with mid-market marks on thousands of complex swaps that failed to comply ...
Morgan Stanley omitted mandatory futures and options data from its Part 17 Large Trader reports to the CFTC. These omissions were the result of four ...
CFTC No-Action Letter 17-56: The Chicago Mercantile Exchange (CME) receives permission to use its...
The form written acknowledgment letters required by Regulations 1.20, 1.26, and 22.5 do not contemplate the mechanics of CME Clearing’s Liquidity Facility, in which an ...
The letter provides that, subject to certain conditions, the Division will not recommend enforcement action against a swap execution facility (“SEF”) which does not capture ...
This extends previous no-action relief to November 2020.