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ARTICLE · 11 MARCH 2019

CFTC Divisions Release 2019 Enforcement Priorities

Herbert Smith Freehills Kramer LLP
Herbert Smith Freehills Kramer LLP
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In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division of Market Oversight (DMO) ...

United StatesFinance and Banking
Kevin Scanlan
Kevin Scanlan
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In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division of Market Oversight (DMO), the Division of Swap Dealer and Intermediary Oversight (DSIO), and the Division of Clearing and Risk (DCR). The CFTC chair, Christopher Giancarlo, noted the issuance of these priorities is in line with Project KISS, an initiative that aims to simplify and modernize the CFTC's rules.

The divisions' examination priorities are:

DMO: This division's compliance branch will focus on designated contract markets' (DCMs') self-regulatory programs, including emerging areas of self-regulation. It will also consult with swap execution facilities (SEFs) while the CFTC finalizes new SEF rules. Additional details regarding DMO's examination priorities can be found in another document published by the DMO. The CFTC noted that they would focus on the following areas in connection with examinations at DCMs:

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