... in the CFTC and cross-border investigations and enforcement space. Michael L. Spafford can be contacted at: michaelspafford@paulhastings.com © Paul Hastings LLP. 2019 Paul Hastings LLP. Licensed re-use rights only Commodity Futures Trading Commission (CFTC) Blockchain Cross-border...

...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...

... compliance with the transfer restrictions imposed by applicable law. Anthony R.G. Nolan can be contacted at: anthony.nolan@klgates.com Commodity Futures Trading Commission (CFTC) US Securities and Exchange Commission (SEC) Financial Crimes Enforcement Network (FinCEN) Cryptocurrency Initial...

...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...

.... Originality/value Practical guidance for participants in the commodities markets from an experienced attorney with expertise in government enforcement matters. © 2016 by Ballard Spahr LLP. 2016 Licensed re-use rights only Insider trading Commodity Futures Trading Commission (CFTC) CFTC...

... financial services lawyers. Cary Meer can be contacted at: cary.meer@klgates.com © Authors 2015 Commodity futures trading commission (CFTC) Commodity pool operator (CPO) Division of swap dealer and intermediary oversight (DSIO) CFTC No-Action Letter 14-126 Delegating CPO Designated...

...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 Commodity Futures Trading Commission (CFTC or Commission) issued final interpretive guidance 1 (Guidance) on prohibitions on certain disruptive trading practices added by the Dodd-Frank Act. 2 The Guidance is applicable to all persons who trade on futures markets or on the coming swap execution facilities...

...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...