No-Action Relief is provided to swap dealers from compliance with certain Commission regulations related to business conduct standards with counterparties and swap trading relationship documentation ...
The Division of Swap Dealer and Intermediary Oversight took a CPO and CTA registration no-action position with respect to the use of wholly-owned United States ...
The CFTC moves quickly to close down a fraud in which it alleges a pair misappropriated $2 million to pay their personal and business expenses, ...
The no-action letter gives relief from the timing requirements of 3.3(f)(2) for filing the Chief Compliance Officer Annual Report. The relief gives an additional ...
Remarks of CFTC Commissioner Sharon Y. Bowen before the 17th Annual OpRisk North America
This case charges a firm with failing to submit accurate monthly reports on commodities.
Chair Massad talks about Regulation 1.22, which deals with the posting of collateral.
CFTC Commissioner Mark Wetjen discusses the residual-interest requirement and the clarification that one customer’s funds could not be used by an FCM to cover another ...
CFTC Commissioner Giancarlo takes the opportunity to push for the swap dealer definition of the de minimis level does not automatically adjust from $8 billion ...
CFTC Chair Tim Massad notes that the Commission has "been vigilant in bringing cases where FCMs have failed to meet their financial and regulatory obligations ...