New rules take effect with the first of the year
“The industry looks to these types of resolutions in structuring their own compliance” programs
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in 2017. Tarbert ...
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that ...
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based ...
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they are “subject ...
Consider that you have received notice. If you’re a CPO/CTA that has been approved by the NFA to engage in swaps yet don’t, you should ...