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Article

Baker McKenzie | USA | 17 Aug 2018

CFTC-Registered Investment Managers and Other NFA Members Face New Disclosure Requirements for Virtual Currency Activities

Beginning 31 October 2018, the National Futures Association (NFA) will require investment managers, future commission merchants (FCMs) and introducing

Article

Baker McKenzie | USA | 13 Oct 2017

Market Compliance Corner - October 2017

SEC Chairman Jay Clayton Released a Statement on Cybersecurity In the statement Chairman Clayton recognized that the most diligent cybersecurity

Article

Baker McKenzie | USA | 25 Aug 2017

Market Compliance Corner August 2017

Chairman Clayton Lays Out Guiding Principles for His Tenure as SEC Chair Prioritizing the evolution of regulation with markets, Jay Clayton announces

Article

Baker McKenzie | USA | 25 Jan 2017

Update January 2017

Timothy Massad recently announced that he was resigning as Chairman of the CFTC effective on January 20, 2017. Chairman Massad began his tenure at the

Article

Baker McKenzie | USA | 22 Sep 2016

NFA Proposes "Financial Health" Reporting Requirements for CPOs and CTAs

In an effort to better understand and monitor the financial health of certain members of the National Futures Association ("NFA"), the NFA has

Article

Baker McKenzie | USA | 3 Aug 2016

The CFTC Proposes Significant Relief For Non-U.S. Market Participants

The U.S. Commodity Futures Trading Commission (“CFTC”), which regulates commodity interest transactions such as swaps and futures contracts, has

Article

Baker McKenzie | USA | 10 Jun 2016

Federal Court Orders Non-U.S. Residents to Pay $2.69 Million Fine for Spoofing

Two residents of the UAE recently agreed to a consent order ("Consent Order") with the CFTC in order to resolve civil spoofing charges. In the

Article

Baker McKenzie | USA | 10 Jun 2016

Defendants Fined $280,000 by CFTC for Engaging in Unlawful Noncompetitive Exchange for Physical Transactions

A Staten Island individual and his firm were fined $280,000, and subjected to a four-year trading ban, for entering into and reporting numerous

Article

Baker McKenzie | USA, Brazil | 10 Jun 2016

CFTC Issues Orders of Registration to 2 Foreign Boards of Trade Permitting Direct Access by U.S. Traders

The CFTC recently issued orders of registration as a “Foreign Board of Trade” to BM&F Bovespa S.A. Located in Sao Paulo, Brazil and Cleartrade

Article

Baker McKenzie | USA | 10 Jun 2016

CFTC Adopts Final Cross-Border Margin Rule

The CFTC has adopted a rule governing margin requirements in cross-border transactions. CFTC Rule 23.160 excludes uncleared swap transactions from

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