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CFTC divisions

Division of Data: The CFTC receives and reviews troves of market data on a daily basis. Expanding its ability to accurately capture, review, and utilize the data has been a years-long objective of the agency. This new division centralizes the agency's data functions, which were previously spread out between the Division of Market Oversight (DMO) and the Office of Data and Technology (ODT). The CFTC brought i Division of Data (DOD) | CFTC Division of Data (DOD) The Division of Data (DOD) was formed in October 2020 as part of an agency reorganization, incorporating data reporting and analysis functions previously housed in the Department of Market Oversight (DMO) and additional analytics functions located throughout the Commission

Let's take a look at five of the main divisions of the CFTC: Division of Clearing and Risk, Market Participants Division, Division of Market Oversight, Division of Data, and the Division of. CFTC Divisions Announce Examination Priorities. Washington, DC — The Commodity Futures Trading Commission (CFTC) today announced 2019 Examination Priorities for registrants of the Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO), and Division of Clearing & Risk (DCR). This marks the first time that the agency has published Examination Priorities for its divisions The Division of Enforcement (DOE) investigates and prosecutes alleged violations of the Commodity Exchange Act and CFTC regulations. Violations may involve commodity futures or option trading on domestic commodity exchanges, or the improper marketing of commodity investments. The Division may, at the direction of the Commission, file complaints before the agency's administrative law judges or. In the CFTC Guidance, the Enforcement Division states that, in reviewing and assessing the entity's compliance program, the Division will concentrate on whether the program was reasonably designed and implemented to prevent, detect, and remediate alleged misconduct. [4] The CFTC Guidance also highlights the specific factors the Division will consider when assessing whether the entity has met these goals CFTC Division of Enforcement Publishes New Civil Monetary Penalty Guidance Gravity of the Violation. Gravity remains the Division's primary consideration when determining penalties, as the CFTC... Mitigating and Aggravating Circumstances. The memo confirms that the CFTC typically considers.

CFTC Division of Enforcement Issues Advisory on Violations of the Commodity Exchange Act Involving Foreign Corrupt Practices Washington, DC - The Commodity Futures Trading Commission (CFTC) Division of Enforcement today announced an Enforcement Advisory on self-reporting and cooperation for violations of the Commodity Exchange Act (CEA) involving foreign corrupt practices CFTC's Enforcement Division Issues New Advisories on Cooperation Washington, DC - The U.S. Commodity Futures Trading Commission's (CFTC) Division of Enforcement today issued two new Enforcement Advisories outlining the factors the Enforcement Division will consider in evaluating cooperation by individuals and companies in the agency's investigations and enforcement actions Legal Division: This Division combines the Office of General Counsel (OGC) with the Office of the Executive Secretariat, to be led by current CFTC General Counsel Daniel J. Davis. The Legal. On September 25, 2017, the Commodity Futures Trading Commission's (CFTC) Division of Enforcement (Division) issued a new advisory on self-reporting and cooperation that seeks to shift th[e] analysis that companies undertake in favor of self-reporting. 1 James McDonald, the new director of the Division, announced the new policy in a speech and question-and-answer session at New York University Law School, at which he highlighted the policy as one of the Division's. CFTC Divisions Release No-Action Relief Related to LIBOR Transition: Summary and Analysis. On December 18, 2019, the staffs of the Division of Swap Dealer and Intermediary Oversight ( DSIO ), [1] the Division of Market Oversight ( DMO ) [2], and the Division of Clearing and Risk ( DCR ) [3] of the Commodity Futures Trading Commission ( CFTC.

On May 20, 2020, the Commodity Futures Trading Commission (CFTC) Division of Enforcement issued new guidance on the factors it will consider in recommending civil monetary penalties for CFTC enforcement actions, namely, the gravity of the violation, mitigating and aggravating circumstances, and other considerations such as the total mix of remedies and monetary relief, among others On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO) and Division of Clearing & Risk (DCR). [1 The CFTC's press release is short on detail, and unlike the SEC's recent announcement of a climate and ESG enforcement task force, notably did not indicate whether the CFTC Division of Enforcement will have a role in the CRU. While greater details on the CRU's composition and projects will undoubtedly come soon, the press release did highlight the following avenues of engagement with derivatives market participants and other stakeholders. Specifically, the CRU may The US Commodity Futures Trading Commission's (CFTC) Division of Enforcement (DOE) articulated a goal in 2018 of increasing coordination with other regulators and criminal authorities. As made clear in its second annual report, the DOE has made good on its goal. In testimony to Congress in 2019, former Chairman Christopher Giancarlo trumpeted the CFTC's enforcement efforts: During my watch. On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO) and Division of Clearing & Risk (DCR). [1] This marks the first time that the agency has published its divisions' examination priorities,.

CFTC Announces Organizational Changes to Agency Divisions

  1. On December 1, 2020, the US Commodity Futures Trading Commission (CFTC)'s Division of Enforcement (the Division) released its fiscal year 2020 report, which provides US commodities markets participants with some important insights into the Division's priorities and expectations
  2. November 2013: The CFTC Division of Swap Dealer and Intermediary Oversight (DSIO) issued an advisory stating that a non-U.S. SD that regularly uses personnel or agents in the U.S. to arrange, negotiate, or execute a swap with a non-U.S. person (ANE Transaction) would generally be required to comply with certain Transaction-Level Requirements (TLRs). 6 The CFTC subsequently issued no.
  3. Legal Division: The Office of General Counsel and the Office of the Executive Secretariat have been merged to form the new Legal Division. Daniel J. Davis, the CFTC's current General Counsel.
  4. On March 6, 2019, the Enforcement Division of the U.S. Commodity Futures Trading Commission (CFTC or the Commission) issued an Enforcement Advisory applicable to non-registered companies and individuals regarding its cooperation and self-reporting program specifically relating to violations of the Commodity Exchange Act (CEA) that involve foreign corrupt practices (the CFTC Foreign Corrupt Practices Advisory or the Advisory)
  5. CFTC Enforcement Division Issues New Advisory on Self-Reporting and Cooperation. On March 6, 2019, the U.S. Commodity Futures Trading Commission (CFTC) Enforcement Division released an advisory (the Advisory) on self-reporting and cooperation for violations of the Commodity Exchange Act (CEA) that involve foreign corrupt practices. [1
  6. ation priorities. This marks the first time that the agency has published.
  7. On December 1, 2020, the U.S. Commodity Futures Trading Commission (CFTC) Division of Enforcement released its Annual Report, which details a record-breaking fiscal year 2020 (FY 2020), despite the challenges presented by the COVID-19 pandemic.. Notably, the CFTC filed a historic 113 enforcement actions—up from 69 filed in FY 2019, 83 filed in FY 2018, and an increase over.

Division of Data (DOD) CFT

CFTC Division of Enforcement Releases First Public Enforcement Manual May 13, 2019 . On May 8, 2019, the Division of Enforcement (the Division) of the Commodity Futures Trading Commission (CFTC) released an Enforcement Manual (the Manual) - the first public document of its kind from the Division. 1. Though the Manual does not reveal any significant shifts in policy, it will. The two Divisions work hand in hand to continually evaluate and review the precious metals market as part of the agency's mission to identify situations which may pose a threat to market integrity. Where appropriate the CFTC's Division of Enforcement may pursue, with the approval of a majority of the Commission, enforcement actions against individuals and companies whose conduct violates. (1) CFTC, CFTC Divisions Announce Examination Priorities (12 February 2019), available here. (2) See CFTC DMO, 2019 Compliance Branch Examination Priorities (12 February 2019), available here. (3) There are currently 14 DCMs and 23 SEFs registered with the CFTC. (4) See Swap Execution Facilities and Trade Execution Requirement, 83 Fed Reg 61946 (30 November 2018), available here The Division's assessment of whether a compliance program meets these goals will take into account various considerations, including the specific entity involved, the entity's role in the market, and the potential market or customer impact of the underlying misconduct. 7 The Division may also consult with subject matter experts in other CFTC divisions Division of Data: The CFTC receives and reviews troves of market data on a daily basis. Expanding its ability to accurately capture, review, and utilize the data has been a years-long objective of.

In the CFTC Guidance, the Enforcement Division states that, in reviewing and assessing the entity's compliance program, the Division will concentrate on whether the program was reasonably designed and implemented to prevent, detect, and remediate alleged misconduct. [4] The CFTC Guidance also highlights the specific factors the Division will consider when assessing whether the entity has met. On December 18, 2019, three divisions of the Commodity Futures Trading Commission (CFTC) released no-action letters that provide relief to market participants in connection with the industry-wide initiative to transition swaps that reference the London Interbank Offered Rate (LIBOR) and other interbank offered rates (IBORs) to swaps that reference alternative risk-free reference rates Commodity Futures Trading Commission (CFTC) is a US-based agency responsible for regulating the derivatives markets, which includes options, swaps, and futures contracts. CFTC plays an important role in regulating financial markets. Without such regulation and regulators, market participants could be subjected to fraud by unscrupulous individuals and, in turn, lose faith in our capital markets CFTC regulations implemented under the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act, created a complex framework for reporting swap transactions and pricing data for public dissemination and regulatory purposes. Following the initial adoption of swap data reporting rules, the CFTC's Division of Market Oversight (DMO) began a review of those rules. In July 2017, DMO. We will not hold you responsible for acting pursuant to any information request from the director of the Division of Clearing and Risk of the CFTC or the director of the Division of Swap Dealer and Intermediary Oversight of the CFTC, or any successor divisions, or such directors' designees, upon which you have relied after having taken measures in accordance with your applicable policies and.

Commodity Futures Trading Commission (CFTC

  1. TCRC-MWED CFTC-DPEV. Home; News; Contractor Reporting; Members Hub. Contractor infraction reporting; Updating your contact information; Withdrawal card; Useful Links; Contact ; The Teamsters Canada Rail Conference Maintenance of Way Employees Division. The Teamsters Canada Rail Conference - Maintenance of Way Employees Division is a union representing approximately 2,800 railway workers. Our.
  2. Designated by the CFTC as a registered futures association, NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory responsibilities. NFA strives to cultivate a diverse, inclusive culture that benefits from the creativity and unique contributions of every staff member
  3. es long-term and recent allegations of misconduct in the silver markets and finds that there is no evidence of manipulation in those markets for the trading period exa
  4. On November 14, 2013, the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO issued a staff advisory (the ANE Staff Advisory) that a non-U.S. SD that regularly uses personnel or agents located in the United States to arrange, negotiate, or execute a swap with a non-U.S. person (ANE Transactions) generally is subject to Transaction-Level Requirements under the Final.

CFTC Divisions Announce Examination Priorities CFT

Commodity Futures Trading Commission - Wikipedi

La Commodity Futures Trading Commission (CFTC), o bien, Comisión de Negociación de Futuros de Productos Básicos, es un organismo independiente responsable de regular el mercado de futuros y opciones en los Estados Unidos. Cualquier empresa o persona que desee participar en el mercado de futuros de productos básicos debe registrarse con ellos Negotiating CFTC and Exchange Settlements This Panel will discuss the process and issues to consider in negotiating a settlement with the CFTC Division of Enforcement and the enforcement staff of designated contract markets and swap execution facilities. Topics will cover such areas as timing, process, types of terms, including examples from. CFTC Divisions Announce 2019 Examination Policies. By Kevin M. Foley & Leonard Licht on February 15, 2019. Posted in CFTC, Derivatives. On February 12, the Commodity Futures Trading Commission announced 2019 Examination Priorities (the Examination Priorities) for registrants of the Division of Market Oversight (DMO), Division of Swap Dealer and Intermediary Oversight (DSIO), and Division.

CFTC regulations implemented under the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Act, created a complex framework for reporting swap transactions and pricing data for public dissemination and regulatory purposes. Following the initial adoption of swap data reporting rules, the CFTC's Division of Market Oversight (DMO) began reviewing those rules. In July 2017, the DMO. The CFTC's more generalized approach offers fewer guideposts for companies compared with the approach taken by the Justice Department, whose guidance on evaluating corporate compliance programs. In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division of Market Oversight (DMO), the Division of Swap Dealer and Intermediary Oversight (DSIO), and the Division of Clearing and Risk (DCR). The CFTC chair, Christopher Giancarlo, noted the issuance of these priorities is in line with Project KISS, an. CFTC Enforcement Priorities. The Division identifies, investigates, and prosecutes violations of the Commodity Exchange Act (CEA) and the Commission's regulations in furtherance of the CFTC's broader mission to promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation and the strategic goal of being tough on those who break the rules The CFTC Division of Enforcement (Division) of the U.S. Commodity Futures Trading Commission (CFTC) issued new guidance (Guidance) on May 20, 2020, that reflects the considerations of..

On October 29, 2020, the Commodity Futures Trading Commission (CFTC) Division of Enforcement (Division) issued a memorandum (Guidance) providing guidance for Division staff to follow when recommending the recognition of an entity's self-reporting, cooperation or remediation in CFTC orders settling administrative enforcement proceedings. CFTC: Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling: We Support Responsible Innovation in Digital Asset Products, and Pooled Investment Vehicle CFTC Enters the Market for Anti-Corruption Enforcement New enforcement advisory encourages reporting of foreign corrupt practices that the agency intends to pursue under the Commodity Exchange Act. On March 6, 2019, the Division of Enforcement (Division) of the US Commodity Futures Trading Commission (CFTC or Commission) announced that it will work alongside the US Department of Justice (DOJ. CFTC Guidance states that the Division will 4 See id. at 1-2. 5 See id. at 2-3. 6 Of note, the CFTC Guidance specifically states that the Division will consider whether policies and procedures had been updated to reflect current rules and regulations, as well as other guidance and legal developments. See id. at 2 n.6 (emphasis added). On March 6, 2019, the U.S. Commodity Futures Trading Commission (CFTC) Enforcement Division released an advisory (the Advisory) on self-reporting and cooperation for violations of the Commodity Exchange Act (CEA) that involve foreign corrupt practices. The Advisory lays out guidelines for companies or individuals not registered (or required to be registered) with the CFTC.

At the CFTC, Ms. Bailey held several leadership roles in various divisions, most recently leading a team of lawyers to advise senior leadership in the Market Participants Division, which oversees derivatives market intermediaries, on policy and legal matters involving Commission rulemakings, guidance and staff action. As Special Counsel in the Office of Commissioner Quintenz, she advised on. Where necessary, the Division will also consult with other CFTC divisions with relevant knowledge, experience or expertise. Baker & Hostetler LLP publications are intended to inform our clients and other friends of the firm about current legal developments of general interest. They should not be construed as legal advice, and readers should not act upon the information contained in these. Christa Lachenmayr, a senior agricultural economist at the Commodity Futures Trading Commission, has been appointed the Commission's liaison to the Department of Agriculture. CFTC Chairman Heath.

CFTC Division of Enforcement Releases Guidance on

CFTC Organization Divisions and Offices. The organization itself is governed by five commissioners. They are chosen by the President and each of them has to serve for five years. The President also chooses which of the five commissioners will be the Chairman. There can be up to three commissioners at once that are in the same political party. The offices contain ten sections, including the. The order recognizes the respondents' entry into a formal cooperation agreement with the Division of Enforcement and reserves the CFTC's determination as to monetary sanctions based on the respondents' agreement to cooperate. Case Background. The order finds that from September 4, 2015 through at least January 22, 2019, Webb engaged in a scheme to misappropriate material, nonpublic block trade. The CFTC's recent entry into AML enforcement began with its August 10, 2020, action against Interactive Brokers, a registered futures commission merchant (FCM), in a coordinated resolution with cases brought against the firm by the SEC and FINRA. The CFTC found that Interactive Brokers failed to maintain adequate AML compliance policies and. The Divisions stated that this relief will expire (i) with respect to Group B requirements under CFTC Reg. 23.23, on the compliance date of the CFTC's recent cross-border rule (September 14. CFTC Attorney Who Let Regulators Trade Crypto Joins Private Law Firm Daniel Davis oversaw the CFTC's legal division, including administrative actions. Former CFTC General Counsel Daniel Davis is.

CFTC Division of Enforcement Publishes New Civil Monetary

This Division will rely on the CFTC's existing reporting, mar-ket intelligence, and surveillance infrastructure and build tools to better serve core Division of Enforcement pro-gram priorities. The CFTC Division of Enforcement has devoted significant resources in recent years to spoofing matters across a range of markets, and several of its recent cases have involved agricultural futures.[11] In a September 2018 case, for example, a proprietary trading firm was fined $1.5 million for spoofing in various agricultural futures markets, including cattle, wheat and soybeans.[12] Indeed. Die CFTC geht davon aus, dass BitMEX den Verstoß gegen die Nutzungsbedingungen nicht nur tolerierte, sondern die Nutzer dazu ermutigte. Einige Twitter-Nutzer sagten auch, dass der KYC von BitMEX ziemlich schwach sei. did bitmex really not have kyc this whole time — Neeraj K. Agrawal (@NeerajKA) October 1, 2020. Die CFTC greift diese. The CFTC's Market Participants Division updated its 2015 FAQs regarding CFTC Rule 4.27 and Form CPO-PQR to reflect the October 2020 adoption of amendments to both the.

The CFTC has a department that investigates violations, known as the Division of Enforcement, which investigates violations of the Commodity Exchange Act and the CFTC Regulations. The violations of the Commodity Exchange Act may include the following: Fraud. Fraud involves the use of illegal means to gain funds from investors. Examples of fraud include Ponzi schemes, misappropriations of. The Division of Enforcement of the Commodity Futures Trading Commission issued a memorandum on May 20, 2020, providing guidance regarding the factors the Division considers when recommending civil monetary penalties to the Commission for violations of the Commodity Exchange Act, as amended, or CFTC's rules and regulations The CFTC Division of Enforcement (Division) of the U.S. Commodity Futures Trading Commission (CFTC) issued new guidance (Guidance) on May 20, 2020, that reflects the considerations of the Division when recommending civil monetary penalties (CMPs) to the CFTC in enforcement actions. The Guidance—which marks the first CMP guidance published by the Division since the CFTC published penalty.

In a regulatory first, the Commodity Futures Trading Commission (CFTC) announced its 2019 examination priorities for registrants of the Division o On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversigh

SEC, CFTC Enforcement Directors Issue Joint Statement On

CFTC Division of Enforcement Issues Advisory on Violations

November 30, 2020. Click for PDF. The Commodity Futures Trading Commission (CFTC or the Commission) recently announced that its Division of Enforcement (the Division) issued new guidance to its staff when considering a recommendation that the Commission recognize a respondent's cooperation, self-reporting, or remediation in an enforcement order (the Guidance) CFTC Enforcement Overview. The Commission, through its Division of Enforcement, investigates violations of the Commodity Exchange Act (CEA) and the CFTC Regulations. Violations can be certain actions or behavior in connection with futures, options, and swaps and in connection for a contract of sale of any commodity in interstate commerce. In. Pool rules: the CFTC's registration requirements. In March 2012 the CFTC amended its rules to require some private fund managers and SEC-registered investment companies to register with the CFTC and proposed new regulations to ease dual compliance with the SEC and CFTC. BDO partners navigate some of the complexities Sumitomo Corporation (Japanese: 住友商事株式会社, Hepburn: Sumitomo Shōji kabushiki gaisha) is one of the largest worldwide Sogo shosha general trading companies, and is a diversified corporation.The company was incorporated in 1919 and is a member company of the Sumitomo Group.. It is listed on three Japanese stock exchanges (Tokyo, Nagoya and Fukuoka) and is a constituent of the. Maguire decided to inform the CFTC. He contacted commissioner Bart Chilton, who had Eliud Ramirez, a senior investigator from the CFTC's enforcement division, get in touch with Maguire. Maguire explained the manipulations in great detail, both over the phone in an hour-long interview and afterward, in a series of e-mails with screen shots

CFTC's Enforcement Division Issues New Advisories on

CFTC, ENFORCEMENT DIVISION, FY2019 DIVISION OF ENFORCEMENT ANNUAL REPORT 10, available here. 10 See Market Regulation Advisory Notice, CME Group, Supervisory Responsibility for Employees (Dec. 17. The CFTC published its first Enforcement Manual in May 2019, noting its core value of clarity. 12 On the heels of that publication, the Division issued new civil monetary penalty guidance and compliance program evaluation guidance in, respectively, May 2020 and September 2020. 13 In connection with these publications, the Commission has noted that clarity serves multiple purposes, including. Introduction. On February 12, 2019, the Commodity Futures Trading Commission (CFTC) published the 2019 examination priorities for its Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight (DSIO) and Division of Clearing & Risk (DCR). [1] This marks the first time that the agency has published its divisions' examination priorities, which serves as part of the. He began his career in the CFTC's Division of Enforcement, where he investigated and prosecuted matters involving complex market manipulation and fraud, including during the aftermath of Enron and the surge in oil prices during the 2007 to 2008 time period. +-Achievements. Legal 500 US, Energy: Regulatory +-Professional / Civic Activities . Chicago Bar Association, Futures and Derivatives. CFTC's Enforcement Division Issues New Advisories on Cooperation On January 19, 2017, the U.S. Commodity Futures Trading Commission's (CFTC) Divi- sion of Enforcement issued two new.

The CFTC's Division of Clearing and Risk, Division of Market Oversight and Division of Swap Dealer and Intermediate Oversight (collectively, the Divisions) issued the Advisory solely as a. On May 8, 2019, the Commodity Futures Trading Commission's (CFTC) Division of Enforcement (DOE) published its first public Enforcement Manual (Manual). The CFTC's DOE is responsible for investigating and prosecuting alleged violations of the Commodity Exchange Act (CEA) and Commission regulations. The Manual is intended as a general reference for DOE staff in carrying out these duties and to.

CFTC Time-Limited No-Action Relief with Respect to the Treatment of Separate Accounts by FCMS. In accordance with the CFTC Letter, the CFTC's Division of Clearing and Risk (DCR) provided that a DCO may permit its FCM clearing members to treat separate accounts of a customer as accounts of separate entities for purposes of Regulation 39.13(g)(8)(iii) where the FCM clearing member's. Matthew Kulkin, co-chair of Steptoe's Financial Services Group, is a former Commodity Futures Trading Commission (CFTC) division director who advises financial market participants on a wide array of legislative, regulatory, compliance, and enforcement matters. Matt relies on his substantive knowledge and recent government experience to assist clients in navigating issues with the CFTC, the. From the Division of Economic and Risk Analysis: S.P. Kothari, Hari Phatak, and Chantal Hernandez. Finally, I would also like to thank the CFTC for hosting this meeting virtually, including the CFTC's Office of the Secretariat and Office of Data and Technology for their hard work on today's meeting Joshua B. Sterling, the Commodity Futures Trading Commission (CFTC), Director of the Division of Swap Dealer and Intermediary Oversight (Division), or DSIO, confirmed on February 10, 2020, that it. cftc, enforcement division, fy2019 division of enforcement annual report 10, available here. 10 See Market Regulation Advisory Notice, CME Group, Supervisory Responsibility for Employees (Dec. 17.

CFTC's Enforcement Division Announces New Focus on Self

The short announcement published on October 21, 2020, from the swaps division of the Commodity Futures Trading Commission (CFTC), the Division of Swap Dealer and Intermediary Oversight (DSIO), provides advice and guidance on how FCMs across the U.S. should handle cryptocurrencies and virtual assets. The post further digs in on how 'to hold and report [ 美国商品期货交易委员会是美国的金融监管机构之一。 cftc是美国政府的一个独立机构,负责监管商品期货、期权和金融期货、期权市场。 cftc的任务在于保护市场参与者和公众不受与商品和金融期货、期权有关的诈骗、市场操纵和不正当经营等活动的侵害,保障期货和期权市场的开放性、竞争性的. CFTC releases enforcement division's annual results. By Verdict Staff. October 25, 2013. Share Article. The Commodity Futures Trading Commission (CFTC) has announced that it filed 82 enforcement actions in fiscal year 2013 (FY 13), bringing the total over the past three fiscal years to 283, nearly double the number of actions brought during the prior three fiscal years. In addition, the. 5092, rwasserman@cftc.gov, Division of Clearing and Risk, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581. SEC: Michael A. Macchiaroli, Associate Director, at (202) 551-5525; Thomas K. McGowan, Associate Director, at (202) 551-5521; Randall W. Roy, Deputy Associate Director, at (202) 551-5522; Raymond Lombardo, Assistant Director, at 202. On December 3, 2020, the Commodity Futures Trading Commission (CFTC or the Commission) Division of Enforcement (the Division) announced a settlement with Vitol Inc. (Vitol), an energy and commodities trading firm in Houston, Texas. This is the first public action coming out of the CFTC's initiative to pursue violations of the Commodity Exchange Act (CEA.

Gibson Dunn CFTC Divisions Release No-Action Relief

CFTC division of enforcement issues civil monetary penalty

On November 14, 2018, the Commodity Futures Trading Commission (CFTC) Division of Enforcement released an annual report, apparently the first of its kind. 1 In a speech given at New York University School of Law, James M. McDonald, director of the Divi­sion of Enforcement, remarked that the report confirms that the past fiscal year has been among the most vigorous in the history of the. 2021 CEFLI CFTC 8. DONALD WALTERS. President and CEO. CEFLI. Welcome! Today's Agenda: Thursday, May 6. 2021 CEFLI CFTC 3. Time. Session Name. 9:45 AM - 10:00 AM EDT. Welcome and Introduction ; 10:00 AM - 10:45 AM EDT. Overview of Life Insurance Companies, Distribution Systems, and Regulatory Authorities: 10:45 AM - 11:00 AM EDT. Break: 11:00 AM - 12:00 PM EDT. Overview of Life. CFTC establishes new climate risk unit. Commodity Futures Trading Commission Acting Chairman Rostin Behnam today announced he has established the Climate Risk Unit (CRU) to support the agency's.

CFTC Divisions Outline Examination Priorities for 2019

Jason Somensatto, a former senior counsel at crypto startup 0x, is the new acting director of LabCFTC, the CFTC's fintech research division CFTC Director of Enforcement Division James McDonald said, We now have the tools, including through the development of our data-analytics program, to better test and verify the information we. issues. In addition, the Division is continuing its ongoing review of funds' use of deriva-tives, including commodity interests, and the associated regulatory issues. In February 2012, the Commodity Futures Trading Commission (CFTC) revised its . requirements for determining which sponsors of funds should be required to register a The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it's starting a family, sending kids to college, saving for retirement or attaining other financial goals

New CFTC Unit Targets ESG Issues, Climate Risks Jones Da

CFTC Enforcement Rises to New Heights: Insights from the

[23] See Press Release, CFTC, CFTC's Division of Enforcement Clarifies Cooperation Advisory With Respect to the Attorney-Client and Work-Product Privileges (Mar. 1, 2007),.

Z International Financial LicensesCFTC Summary of Performance and Financial Information FY 2014CFTC Agency Financial Report 2015Barclays to pay largest civil fine in CFTC history - CBS Newsall greenSteele Compliance Solutions: Today’s Enforcement LandscapeRostin Behnam | ASIFMAIMG-20140517-00212
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