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 ...
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 ...
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 ...
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 ...