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NFA Creates New Internal Controls Requirements for CPO Members

USA - February 13 2019 Effective April 1, 2019, National Futures Association (NFA) members that are commodity pool operators (CPOs) will be required to implement internal...

James B. Biery, Geoffrey F. Aronow, Nathan A. Howell.


CFTC Proposes to Overhaul its SEF Rules and Adopts a Permanent Threshold for the Swap Dealer De Minimis Exception

USA - December 5 2018 At an open meeting of the Commodity Futures Trading Commission (CFTC) on November 5, 2018, the CFTC Commissioners voted to approve (i) a final rule...

Andrew E. Nelson, Nathan A. Howell, Kenneth A. Kopelman, William J. Nissen, Kate L. Lashley, Joseph E. Schwartz.


U.S. SEC and CFTC Fiscal Year 2018 Whistleblower Reports Chart Dramatic Escalation of Whistleblower Programs

USA - December 3 2018 The U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission(CFTC) Offices of the Whistleblower have issued their...

Geoffrey F. Aronow, Stephen L. Cohen, Nathan A. Howell, W. Hardy Callcott, Fiona A.Philip.


CFTC Chairman Giancarlo's White Paper: Cross-Border Swaps Regulation 2.0

USA - October 12 2018 On October 1, 2018, the Chairman of the U.S. Commodity Futures Trading Commission (CFTC) published a long-awaited white paper titled “Cross-Border...

Azad Assadipour, Elizabeth M. Schubert, Ellen P. Pesch, Nathan A. Howell, William Shirley.


New York State Department of Financial Services Challenges OCC Authority on Fintech Charters

USA - September 19 2018 On July 31, 2018, the U.S. Office of the Comptroller of the Currency (OCC) announced its decision (the Fintech Charter Decision) to begin accepting...

Geoffrey F. Aronow, Lilya Tessler, Thomas C. Mack, David E.Teitelbaum, Joel D. Feinberg.