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19 results found

Article

Cadwalader Wickersham & Taft LLP | USA | 4 Jan 2017

The Supreme Court May Review Whether Regulatory Enforcement Actions Seeking Disgorgement are Subject to a Five-Year Statute of Limitations

Federal regulatory agencies, such as the Securities and Exchange Commission (“SEC”), the Commodity Futures Trading Commission (“CFTC”), and the

Article

Cadwalader Wickersham & Taft LLP | USA | 21 Dec 2016

The Trump Administration: Potential Levers of Regulatory Change Affecting the Commodities Markets

Much has happened since the election of Donald J. Trump as the 45th President of the United States and the return of both houses of Congress to

Article

Cadwalader Wickersham & Taft LLP | USA | 7 Nov 2016

CFTC Approves Supplemental Proposal for Proposed Regulation AT

On November 4, 2016, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) approved, by a 2 - 1 vote, a supplemental proposal (“Reg AT

Article

Cadwalader Wickersham & Taft LLP | USA | 31 Oct 2016

Not Your Grandmother’s Form 40

A common tool that the Commodity Futures Trading Commission (“CFTC” or the “Commission”) relies upon to conduct Market Surveillance, including

Article

Cadwalader Wickersham & Taft LLP | USA | 30 Sep 2016

CFTC Issues Fourth Penalty for Inaccurate Large Trader Reporting of Swaps

On September 27, 2016, the U.S. Commodity Futures Trading Commission (“CFTC” or the “Commission”) issued a fourth penalty for violations of its Swaps

Article

Cadwalader Wickersham & Taft LLP | USA | 16 Aug 2016

CFTC Staff Issues Final Swap Dealer De Minimis Exception Report

On August 15, 2016, Staff of the U.S. Commodity Futures Trading Commission (“CFTC”) published a final report regarding the de minimis exception from

Article

Cadwalader Wickersham & Taft LLP | USA | 11 Jul 2016

CFTC Issues $560,000 Penalty for Inaccurate Large Trader Reporting of Swaps

On July 6, 2016, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) fined Barclays Bank PLC (“Barclays”) $560,000 for inaccurate

Article

Cadwalader Wickersham & Taft LLP | USA | 31 May 2016

CFTC Unanimously Approves Supplemental Proposal on Position Limits

On May 26, 2016, the Commodity Futures Trading Commission (“CFTC”) unanimously approved a proposed supplement (“Supplemental Proposal”) to its

Article

Cadwalader Wickersham & Taft LLP | USA | 12 May 2016

CFTC Proposes Amendment to RTO-ISO Order

On May 10, 2016, the Commodity Futures Trading Commission (“CFTC”) proposed an amendment (“Proposed Amendment”) to an order it issued on March 28

Article

Cadwalader Wickersham & Taft LLP | USA | 5 May 2016

Compliance Departments Must Continue to Evolve as Regulators Refine Their Approach to Spoofing

The government's pursuit of alleged "spoofing" continues to garner headlines with the criminal authorities recently securing a conviction in the

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