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33 results found

Article

Sidley Austin LLP | USA | 11 Mar 2019

CFTC Announces Enforcement Advisory for Commodity Exchange Act Violations Involving Foreign Corrupt Practices

On March 6, 2019, at the American Bar Association’s (ABA) National Institute on White Collar Crime, Commodity Futures Trading Commission (CFTC)

Article

Sidley Austin LLP | USA | 13 Feb 2019

NFA Creates New Internal Controls Requirements for CPO Members

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

Article

Sidley Austin LLP | USA | 3 Dec 2018

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

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

Article

Sidley Austin LLP | USA | 2 Oct 2018

One Pie, Many Slices: Recent Court Decisions Carve Up SEC and CFTC Jurisdiction in Virtual Currency

Three recent actions in federal court illustrate the interplay among federal regulators overseeing virtual currency, offer important support for the

Article

Sidley Austin LLP | USA | 23 Aug 2018

CFTC Proposes Rules to Simplify Process for Non-U.S. Clearing Organizations to Obtain DCO Registration Exemption

The Commodity Futures Trading Commission (CFTC) has issued a notice of proposed rulemaking (NPR) proposing to codify the CFTC’s existing policies and

Article

Sidley Austin LLP | USA | 26 Jul 2018

CFTC and CME Fine Market Participant for Attempted Manipulation by Sending “False Signal” to Market

On July 12, the Commodity Futures Trading Commission (CFTC) and the CME Group (CME) both announced settled proceedings against Lansing Trading Group

Article

Sidley Austin LLP | USA | 20 Dec 2017

CFTC Proposes Interpretation of “Actual Delivery” in Connection with Virtual Currency

On December 15, 2017, the Commodity Futures Trading Commission (CFTC or the Commission) issued a proposed interpretation of the term “actual

Article

Sidley Austin LLP | USA, Global, Hong Kong | 16 Nov 2017

Derivatives Quarterly Newsletter: 3rd Quarter 2017

On July 6, 2017, the CFTC issued an order to LedgerX LLC (LedgerX), granting it registration as a SEF (SEF Order). In addition, on July 24, 2017

Article

Sidley Austin LLP | USA | 11 Aug 2017

CFTC Issues Aggregation Exemption Notice Filing Relief

On August 10, 2017, the Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) granted time-limited no-action relief

Article

Sidley Austin LLP | USA | 8 Aug 2017

Some Good Deeds Apparently Do Get Rewarded: CFTC Settles Spoofing Case and Indicates It Gave Substantial Credit for Cooperation and Voluntary Remediation

On August 7, 2017, the Commodity Futures Trading Commission (CFTC) entered a settlement order In the Matter of Tokyo-Mitsubishi UFJ, Ltd., CFTC Dkt

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