Time-limited no-action relief for OTC Clearing Hong Kong Limited with regard to Sections 5b(a) and 2(h)(1)(A) of the Commodity Exchange Act and implementing regulations thereunder.
CFTC Also Charges Oren Shabat Laurent as the Controlling Person of the Corporate Defendants and of the Banc de Binary Common Enterprise.
Commissioner O'Malia discusses high frequency trading, 21st century surveillance, cross-border swaps regulations and more.
DMO and DCR issued no-action relief, providing the phased-in compliance for package transactions which include at least one swap that has been made available to ...
Yadgir held an aggregate live cattle futures net long position that totaled 620 contracts, exceeding his speculative position limit by 70 contracts.
This CPA did not have experience auditing FCMs or any entity that held customer segregated accounts, was not qualified to conduct an FCM audit and ...
Time-Limited No-Action Relief for Certain Members of Swap Execution Facilities and Designated Contract Markets from the Requirement to Record Oral Communications, Pursuant to Commission Regulation ...
Action is a result of CFTC’s 2012 sweep against foreign currency firms for failure to register under the 2008 Farm Bill, the Dodd-Frank Act, and ...
No-action relief regarding format of acknowledgment letters and format and content of daily reports for DCO winding down operations in anticipation of vacating its DCO ...
The Division of Clearing and Risk and Division of Market Oversight issued a no-action letter providing time-limited and specific relief for designated contract markets from ...