... swaps reforms in other markets that have not yet adopted the G20 reforms[ 7 ]. Commodity Futures Trading Commission (CFTC) Blockchain Cross-border Cryptocurrency Extraterritorial regulation Commodity Exchange Act (CEA) In an October 17, 2018 speech, Commodity Futures Trading...

...Julian E. Hammar Purpose This paper summarizes the requirements of rule amendments promulgated by the Commodity Futures Trading Commission (CFTC) in 2018 regarding the duties of Chief Compliance Officers (CCOs) of swap dealers, major swap participants, and futures commission merchants...

...Bradley J. Bondi; David Slovick; Michael Wheatley Purpose To provide an overview of the Commodity Futures Trading Commission’s (CFTC’s) new self-reporting and cooperation program. Design/methodology/approach Summarizes the key features of the CFTC’s new cooperation program and the CFTC’s...

.... Anthony R.G. Nolan can be contacted at: anthony.nolan@klgates.com © 2018 K&L Gates LLP. 2018 2018 K&L Gates LLP. Licensed re-use rights only Commodity Futures Trading Commission (CFTC) US Securities and Exchange Commission (SEC) Financial Crimes Enforcement Network (FinCEN...

...Mark Srere; Jennifer Mammen Purpose To analyze the recent Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) whistleblower awards and to evaluate what issues may be important for in-house counsel in the future. Design/methodology/approach The article...

...Marc Horwitz; Claire Hall; Bradley Phipps Purpose To discuss the US Commodity Futures Trading Commission’s (CFTC’s) final rule regarding margin for uncleared swaps (the CFTC margin rule) and an interim final rule exempting non-financial and certain other end-users who are eligible for the end-user...

... trading Commodity Futures Trading Commission (CFTC) CFTC Regulation 180.1 Commodities enforcement Commodities exchange act Regulatory sanctions The CFTC’s action was taken in an administrative proceeding, In the Matter of: Arya Motazedi (CFTC Docket No. 16-02, Dec. 2, 2015...

... advisers for hedge funds and private funds, including mutual funds and exchange traded funds in certain cases. CPOs are generally regulated by the USA Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA). Under the Commodity Exchange Act, CPOs must register...

...Walid Khuri; Robert M. McLauglin; David S. Mitchell; David W. Selden Purpose – To provide an overview of a new, streamlined process from the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission (CFTC) by which a commodity pool operator (CPO) may...

...Daphne G. Frydman; Raymond A. Ramirez Purpose – To explain regulatory developments and changes to compliance obligations for asset managers registered with the Commodity Futures Trading Commission (CFTC) as commodity pool operators of registered investment companies. Design/methodology...

...Robert M. Brown Purpose – The purpose of the paper is to summarize the Commodity Futures Trading Commission's (CFTC) recent overhaul of its customer protection rules, which regulate how futures commission merchants (FCMs) and derivatives clearing organizations (DCOs) handle customer funds...

... the closing period; or Paul M. Architzel can be contacted at: paul.architzel@wilmerhale.com © Authors 2013 United States of America Commodity Futures Trading Commission (CFTC) Dodd-Frank Act prohibited trading practices In May 2013, the Commodity Futures Trading Commission (CFTC...

...Michael M. Philipp; Ignacio A. Sandoval Purpose The purpose of this paper is to describe the separate but related relief issued by the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) that permits the commingling and portfolio margining of centrally...