It’s unusual for the CFTC to revoke a large firm’s registration, especially for violations of regulatory laws overseen by another regulator
"By now you’d think the NFA would have had a rule in place that prohibits fraud around the use of Bitcoin and Ether. But it ...
The CFTC has decreed a new system that would require a unique product identifier and product classification for swap recordkeeping and reporting. The new order ...
One case the Commission highlighted involved a hedge fund and its CFO charged with providing false or misleading information to swap counterparties of a private ...
The proposal aims to give the market “added flexibility,” the CFTC maintains. It also summarizes global efforts to aid the transition away from LIBOR
The notification requirement kicks in “when specified market or other events affect a commodity pool’s ability to fulfill its participant obligations”
Several investors asked him to cease trading in their accounts. “However, Chopra failed to honor these requests and lied by misrepresenting that he had ceased ...
If your risk assessment deems it appropriate, you can make your 2023 branch office exams remote as well, the NFA states
Mistakes around these items cause the most exam deficiencies among CPOs/CTAs that are NFA members
A new guide to help with the transition to SOFR