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9,247 results found

Article

Katz Marshall & Banks LLP | USA | 20 May 2019

CFTC Grants Whistleblower Award of Over $2M

On March 4, 2019, the United States Commodity Futures Trading Commission (CFTC) for the first time awarded a whistleblower over $2 million for

Article

Katten Muchin Rosenman LLP | USA | 19 May 2019

CFTC DSIO Head Suggests Revision of Permitted Investments for FCMs and Clarification of Exemption for Floor Traders From Swap Dealer Definition Under Consideration

Matt Kulkin, Director of the Commodity Futures Trading Commission’s Division of Swap Dealer & Intermediary Oversight

Article

Katten Muchin Rosenman LLP | USA | 19 May 2019

Futures Industry Self-Regulators Warn FCMs Against Limiting Losses of Customers and Not Combining Accounts for Aggregate Margin Call Calculations

The futures industry’s Joint Audit Committee issued two reminders to Futures Commission merchants last week, one regarding the prohibition against

Article

K&L Gates | USA | 17 May 2019

CFTC proposes amendments to swap data reporting requirements

Sellers under virtual power purchase agreements often agree to assume the duty to report the swap transactions contemplated by those agreements

Article

Katten Muchin Rosenman LLP | USA | 17 May 2019

Joint Audit Committee Releases Two Regulatory Alerts

On May 14, the Joint Audit Committee (JAC), a representative committee of US futures exchanges and the National Futures Association (NFA), released

Article

Haynes and Boone LLP | USA | 16 May 2019

Federal Reserve Proposes Expansion to Definition of "Financial Institution" for Purposes of FDICIA

The Federal Reserve Board of Governors (the “Board”) issued a Notice of Proposed Rulemaking (“NOPR”) seeking comment on a proposal to amend the

Article

Jones Day | USA | 15 May 2019

CFTC Issues First Ever Enforcement Manual

The Enforcement Manual is intended to guide the work of the DOE and increase transparency.....

Article

Sidley Austin LLP | USA | 15 May 2019

Financial Crimes Enforcement Network Guidance Regarding Convertible Virtual Currencies, Wallets, ICOs, DApps and More

On May 9, 2019, the Financial Crimes Enforcement Network (FinCEN) issued guidance relating to how the Bank Secrecy Act (BSA) and its implementing

Article

Bracewell LLP | USA | 14 May 2019

CFTC Division of Enforcement Releases First Public Enforcement Manual

On May 8, 2019, the Commodity Futures Trading Commission's (CFTC) Division of Enforcement (DOE) published its first public Enforcement Manual

Article

Richards Kibbe & Orbe LLP | USA | 13 May 2019

The CFTC Debuts Its First Publicly Available Enforcement Manual - A Snapshot of Key Provisions and Issues

The Commodity Futures Trading Commission's ("CFTC") new Enforcement Manual ("Manual"), while codifying past practice and pronouncements, hints that

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