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  • Article

    CFTC Adopts Final Rule Amending De Minimis Exception To Swap Dealer Definition

    On March 25, the CFTC adopted a final rule amending the de minimis exception to the definition of "swap dealer."
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Amends Three Rules Designed To Protect Customer Funds

    The CFTC announced three separate measures designed to improve the protection of customer funds.
    United StatesFinance and Banking
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
Article

CFTC And Italian Regulator Enter Agreement On Cross-Border Derivatives Activities

The CFTC and the Commissione Nazionale per le Società e la Borsa (i.e., the Italian Companies and Exchange Commission) entered into a Memorandum of Understanding.
United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
  • Article

    CFTC Approves Comparability Determination For Australia's Uncleared Swap Margin Rules

    On March 27, 2019, the CFTC approved a comparability determination of Australia's margin requirements for uncleared swaps, finding the requirements comparable to U.S. requirements for substituted compliance purposes.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Approves Comparability Determination For Japan's Uncleared Swap Margin Rules

    On March 26, the CFTC approved an amended comparability determination that would extend the substituted compliance permitted for Japan's margin requirements for uncleared swaps with respect to the scope of entities...
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Approves Final Rule For Uncleared Swaps Margin Requirements

    The CFTC approved, by a 2-1 vote, the final rule governing margin requirements for uncleared swaps for swap dealers and major swap participants.
    United StatesFinance and Banking
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    CFTC Approves Final Rule On Margin Requirements For Uncleared Swaps For Swap Dealers And Major Swap Participants

    On December 16, 2015, the U.S. Commodity Futures Trading Commission approved a new regulation for uncleared swaps...
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Approves Final Rule On Records Of Commodity Interest And Related Transactions

    The CFTC approved a final rule amending the recordkeeping obligations for certain market participants under Commission Regulation 1.35(a).
    United StatesFinance and Banking
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    CFTC Approves National Futures Association Rules Enhancing Protections For Retail Forex Customers

    On August 27, 2015, the U.S. Commodity Futures Trading Commission (CFTC) approved rule amendments and a new interpretive notice proposed by the National Futures Association (NFA).
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Awards Whistleblower Approximately $1.5 Million

    The CFTC awarded approximately $1.5 million to an individual whistleblower for information provided in connection ...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Chair J. Christopher Giancarlo Praises Agency Funding Increase

    CFTC Chair J. Christopher Giancarlo praised the FY 2019 appropriations legislation.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Chair Tarbert Names New Director Of The Division Of Clearing And Risk

    CFTC Chair Heath P. Tarbert named Malcolm Clark Hutchinson III as Director of the Division of Clearing and Risk. Mr. Hutchinson will be responsible for CFTC supervision of derivative clearinghouses
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Commissioner Dawn Stump Will Not Seek Reappointment

    CFTC Commissioner Dawn DeBerry Stump announced that she will not seek reappointment following the conclusion of her term. Ms. Stump stated that until her five-year term expires in April 2022.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Grants CPO No-Action Relief From Registration Requirement

    The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from registration requirements,
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Grants CPO Relief From 30-Day Quarterly Account Statement Delivery Requirement

    The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to a commodity pool operator ("CPO") from the requirement to deliver quarterly account statements to pool participants within 30 days of each quarter.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Grants DCO Registration To CME Clearing Europe Limited

    The CFTC granted a request by Chicago Mercantile Exchange Clearing Europe Limited ("CMECE") for registration as a derivatives clearing organization ("DCO") under the CEA.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Grants Registration Relief To CPO/CTA Of Affiliate Engaged In Hedging

    The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief from registration as a CPO or CTA to the investment manager of a fund.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    CFTC Issues Proposed Amendments To Swap Data Recordkeeping And Reporting Requirements For Cleared Swaps

    On August 19, The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments to existing rules relating to swap data reporting in connection with cleared swaps.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Launches National Campaign To Protect Consumers

    On November 19, the CFTC launched CFTC SmartCheck, a new national campaign to help investors identify and protect themselves against financial fraud.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CFTC Names Chair And Members Of New Subcommittee On Margin Requirements For Non-Cleared Swaps

    CFTC Commissioner Dawn D. Stump named Wendy Yun as Chair of a newly-launched Subcommittee of the Global Markets Advisory Committee ("GMAC").
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Showing 481–500 of 29325 results

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