All CFTC articles – Page 10
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ArticleCFTC files charges over fraudulent binary options trading scheme
The CFTC is pursuing enforcement against five entities and four individuals for engaging in a fraudulent scheme to solicit global customers for the purported purpose of trading illegal, off-exchange binary options.
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Article
Agencies exclude community banks from the Volcker Rule
Five federal financial regulatory agencies announced this week they have adopted a final rule to exclude community banks from the Volcker Rule.
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ArticleRegulatory events: What’s hot this summer!
Here’s a look at some upcoming events and training from regulators like the SEC, DOJ, and PCAOB.
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ArticleCFTC issues joint $2M whistleblower award
The Commodity Futures Trading Commission announced on July 1 an award of $2 million to two “model whistleblowers” who provided the agency with “significant information” that prompted the CFTC to open an investigation.
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Article
Merrill Lynch to pay $25M to settle metals ‘spoofing’ claims
Merrill Lynch Commodities will pay a combined $25 million to resolve a government investigation into a multi-year scheme to mislead the market for precious metals futures contracts.
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ArticleCFTC issues reduced whistleblower award of $2.5M
The Commodity Futures Trading Commission has awarded a whistleblower $2.5 million for assisting it in an investigation, but the award could have been larger if the report was made sooner, the CFTC said.
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ArticleGlobal regulators strike against shady ‘manufactured credit events’
International regulators are joining forces to strike against what they deem as “opportunistic strategies” and “manufactured credit events” in the multi-trillion-dollar derivatives marketplace.
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ArticleA legacy in cowboy boots
Former CFTC Commissioner Bart Chilton, who died last month, struck more a figure of a rock star than a regulator.
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ArticleCFTC proposes to amend derivatives clearing organization regulations
The Commodity Futures Trading Commission on April 29 issued a proposed rule to amend certain regulations that apply to derivatives clearing organizations (DCOs) under Part 39 of the CFTC’s regulations. Part 39 implements the statutory core principles for DCOs.
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ArticleCFTC approves proposed rule to improve quality for swap data repositories
The Commodity Futures Trading Commission approved a proposed rule to improve the quality of swap data and update and streamline regulations related to swap data repository operations and governance.
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ArticleShutdown starts to pose new risks for businesses
The longest government shutdown in U.S. history is increasingly a catalyst for new risks and tough choices for corporations.
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Blog
CFTC could overhaul cross-border derivatives approach
CFTC Chairman J. Christopher Giancarlo plans to spearhead new rule proposals to address a range of cross-border issues with swaps regulation.
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Blog
Federal court: Virtual currency is a commodity, in CFTC purview
A federal court has ruled that the Commodity Futures Trading Commission has the power to prosecute fraud involving virtual currency.
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Blog
CFTC simplifies its regulations governing compliance officers
The Commodity Futures Trading Commission on Aug. 21 unanimously approved final amendments clarifying and simplifying its regulations governing chief compliance officer duties and annual compliance reporting requirements for futures commission merchants, swap dealers, and major swap participants.
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Blog
CFTC proposes rule update for U.S. markets in security futures products
The Commodity Futures Trading Commission unanimously approved a proposal to update a rule impacting exchanges that list security futures products. The proposal has the potential to provide greater liquidity in SFP trading, which would facilitate risk management for companies using SFPs, and is the first update to the CFTC SFP ...
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Blog
CFTC: First award issued to a foreign whistleblower
The Commodity Futures Trading Commission (CFTC) on Monday announced an award of more than $70,000 to a whistleblower who “significantly” contributed to an ongoing CFTC investigation and led the CFTC to a successful settlement.
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Blog
SEC, CFTC make their case for more funding, boosting cyber-security
Requesting increased funding for Fiscal Year 2019 before a Senate committee, the heads of the SEC and CFTC touted the need to ramp up their internal cyber-security efforts and external supervision and enforcement of breaches.
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Blog
CFTC chair wants to reform and repair Dodd-Frank’s swaps rules
CFTC Chairman J. Christopher Giancarlo is trying to set the stage for what he describes as “regulatory reform 2.0,” with a look back on the Dodd-Frank Act’s swaps rules and where his Commission succeeded, or failed.
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Blog
CFTC and UK’s FCA agree to collaborate on FinTech innovations
The U.S. Commodity Futures Trading Commission and the UK’s Financial Conduct Authority (FCA) have agreed to collaborate on international FinTech efforts.
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Blog
Regulators make funding pitch for FY 2019 budget
This week, President Trump sent Congress a $4.4 trillion budget proposal for fiscal year 2019. While Congress pores over the document, regulatory agencies are making their pitch for more resources.