The CFTC has long given credit for cooperation in determining whether enforcement action is warranted, the nature of charges that should be brought, and the ...
The Order also finds several supervision failures related to Citigroup’s spoofing. First, Citigroup provided insufficient training about spoofing to traders on its U.S. Treasury and ...
Keynote Address of CFTC Commissioner J. Christopher Giancarlo Before SEFCON VII Making Market Reform Work for America January 18, 2017 Introduction Thank you for that ...
My principles throughout my tenure were the following: focus rules on the areas of greatest risk. Don’t be overly prescriptive. Eliminate or reduce the unintended ...
No-action letter permitting, subject to certain conditions, the CPO of a pool comprised solely of sophisticated institutions that do not invest in the pool for ...
The proposal would conform our rules to various changes Congress made in the law and provide a process for sharing of information. Among other things, ...
Today’s proposal will modernize recordkeeping and storage obligations set forth in CFTC rules, and make them technology neutral. By doing so, it will reduce costs ...
The CFTC Order finds that JPMS failed to implement and maintain adequate systems for reconciling invoices from exchange clearinghouses with the amounts of fees actually ...
I believe that wholesale repeal of Dodd Frank would be a big mistake. And particularly, when it comes to the reforms of the swaps market, ...
The Division will not recommend that the Commission commence any enforcement action against “B” for failure to register as a CPO under section 4m(1) of ...