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23 results found

Article

Sullivan & Cromwell LLP | USA | 13 Feb 2019

CFTC 2019 Examination Priorities: CFTC Divisions of Market Oversight, Swap Dealer & Intermediary Oversight and Clearing & Risk Announce Examination Priorities for CFTC-Regulated Entities for the First Time

On February 12, 2019, the Commodity Futures Trading Commission (the “CFTC”) released the 2019 “Examination Priorities” developed by the Compliance

Article

Sullivan & Cromwell LLP | USA | 6 Dec 2018

CFTC v. WilsonCourt Rules against CFTC in Commodities Manipulation Bench Trial: Court Holds that Open-Market Bids and Offers Made with an Honest Desire to Trade Cannot Support Liability under the Commodity Exchange Act

In a November 30, 2018 decision made public on Monday of this week, Judge Richard Sullivan, formerly of the Southern District of New York (now Second

Article

Sullivan & Cromwell LLP | USA | 5 Oct 2018

CFTC Chairman Releases White Paper on “Cross-Border Swaps Regulation Version 2.0”

On October 1, 2018, Commodity Futures Trading Commission ("CFTC") Chairman Christopher Giancarlo released a White Paper titled "Cross-Border Swaps

Article

Sullivan & Cromwell LLP | USA | 11 Jul 2017

CFTC Staff Announces Review of Swaps Reporting Requirements and Requests Public Comment

The Division of Market Oversight (“DMO”) of the Commodity Futures Trading Commission (“CFTC”) announced plans to review the swap data reporting

Article

Sullivan & Cromwell LLP | USA | 8 Jun 2017

CFTC Issues Final Recordkeeping Rules - CFTC Finalizes Rule to Modernize Recordkeeping Obligations

On May 23, 2017, the Commodity Futures Trading Commission (the "CFTC" or the "Commission") adopted final rules (the "Final Rule") to amend and update

Article

Sullivan & Cromwell LLP | USA | 5 Jun 2017

CFTC Issues Final Rules to Expand Its Whistleblower Authority

On May 22, 2017, the Commodity Futures Trading Commission (the "CFTC") unanimously adopted final rules to amend and update Part 165 of the CFTC's

Article

Sullivan & Cromwell LLP | USA | 22 May 2017

CFTC Launches LabCFTC FinTech Initiative - Creates New Channel for Interaction with FinTech Companies

On May 17, 2017, the Commodity Futures Trading Commission ("CFTC") announced the creation of LabCFTC, a new initiative aimed at facilitating the

Article

Sullivan & Cromwell LLP | USA | 11 May 2017

CFTC Proposes to Amend CCO Rules - CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

On May 3, 2017, the Commodity Futures Trading Commission (the "CFTC") announced proposed amendments to its rules governing the duties of chief

Article

Sullivan & Cromwell LLP | USA | 10 May 2017

CFTC Requests Public Input on Simplifying and Modernizing Rules via Project KISS

Responding in part to Executive Order 13777 (Enforcing the Regulatory Reform Agenda; Feb. 24, 2017), which directed federal agencies to designate a

Article

Sullivan & Cromwell LLP | USA | 16 Dec 2016

CFTC Issues Final Aggregation Rules for Position Limits

On December 5, 2016, the Commodity Futures Trading Commission (the "CFTC" or "Commission") unanimously adopted final rules to amend and update Part

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