All CFTC articles – Page 9
-
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.
-
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.
-
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.
-
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.
-
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 ...
-
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.
-
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.
-
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.
-
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.
-
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.
-
Blog
CFTC charges executives for ongoing virtual currency scam
The CFTC announced that it is bringing commodity fraud and misappropriation charges related to the ongoing solicitation of customers for a virtual currency known as My Big Coin.
-
Blog
CFTC, SEC issue joint enforcement warning on virtual currencies
The CFTC and SEC have issued a warning regarding virtual currencies. They “will look beyond form, examine the substance of the activity, and prosecute violations of the federal securities and commodities laws.”
-
Blog
CFTC launches virtual currency resource web page
The Commodity Futures Trading Commission announced the launch of a new virtual currency resource Web page, a central repository for CFTC-produced resources about virtual currency and is designed to educate and inform the public about these commodities, including the possible risks associated with investing or speculating in virtual currencies or ...
-
Blog
CFTC makes pitch for self-reporting, cooperation in enforcement actions
The CFTC, with lessons learned and expectations informed by similar programs at other federal agencies, is promoting new self-disclosure and cooperation agreements with the firms it oversees. James McDonald, director of the Division of Enforcement, outlined the program in a recent speech.
-
Blog
CFTC fills long-vacant seats with new commissioners
The Commodity Futures Trading Commission is bringing two, much-needed commissioners to the table with the swearing-in of Brian Quintenz and Rostin Behnam.
-
Blog
CFTC fills vacancies with new commissioner, chief economist
Earlier this month, Brian Quintenz was officially sworn in to serve as a commissioner on the Commodity Futures Trading Commission. Joining him will be Bruce Tuckman, an internationally-recognized economist and expert in modern derivatives markets, as the agency’s chief economist.
-
Blog
AxiomSL launches regulatory education program for asset managers, broker-dealers
AxiomSL, a global provider of regulatory reporting, risk, and data management solutions, recently announced the launch of a program designed to assist asset management firms and broker-dealers clarify issues related to the shifting regulatory environment.
-
Blog
CFTC opens public review of swaps data reporting
The CFTC has announced it is seeking public comments as it embarks on a comprehensive review of swaps data reporting requirements.
-
Blog
SEC, CFTC make their pitch for boosted budgets
As new and emerging technology alters the risk landscape, increased budgets for the SEC and CFTC will help them fight fire with fire, agency heads said at a recent budget hearing.
-
Blog
Frustrated CFTC Commissioner steps down, other agencies staff up
The CFTC is losing a long-time member after Sharon Bowen publicly aired her frustrations. Meanwhile, a familiar face is fueling rumors about President Trump’s next SEC nomination.