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Tag Archives: CFTC
CFTC Division of Enforcement Publishes Enforcement Manual
On May 8, 2019, the Division of Enforcement (“Division”) of the Commodity Futures Trading Commission (”CFTC”) announced that it had published its Enforcement Manual (“Manual”). This is the first issuance of a public Manual. Prior to this publication, the Manual … Continue reading
Posted in Banking and Finance law
Tagged CFTC, Division, Enforcement, Manual, publishes
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CFTC chairman asks FRB to issue guidance on implementation of impending Phase Five margin requirements
By Brad Rosen, J.D. In a letter to Federal Reserve Board Vice Chairman Randal Quarles dated April 29, 2019, CFTC Chairman J. Christopher Giancarlo laid out a number of significant issues concerning the “Phase Five” implementation requirements for initial margin … Continue reading
Posted in Banking and Finance law
Tagged asks, CFTC, chairman, Five, Guidance, Impending, Implementation, issue, Margin, phase, Requirements
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CFTC Launches New Rule on Derivatives Clearing Organizations
Derivatives clearing organizations (DCOs) offer a valuable purpose in the investment community. Like many other investment operations, they’re thoroughly regulated, and sometimes those regulations are not as clear-cut as many would prefer. Thus, the Commodity Futures Trading Commission (CFTC) recent … Continue reading
Posted in Administrative law
Tagged CFTC, Clearing, Derivatives, Launches, Organizations, Rule
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CFTC Alleges Florida Forex Venture Offering 12% Guaranteed Returns Was $75 Million Ponzi Scheme
The Commodity Futures Trading Commission recently unsealed an action in Florida federal court accusing five men of operating a Ponzi scheme that raised at least $75 million from at least 650 investors nationwide. The action, filed in the Middle District … Continue reading
Posted in Banking and Finance law
Tagged alleges, CFTC, Florida, Forex, Guaranteed, million, offering, Ponzi, Returns, Scheme, Venture
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Chairman Giancarlo advances his vision for global derivatives regulation in his final European tour as CFTC leader
By Brad Rosen, J.D.In one of his final speeches to European counterparts at the Eurofi Financial Forum, CFTC Chairman John Christopher Giancarlo articulated a framework for global financial regulators in a speech titled A New Vision For EU-US Regulatory and … Continue reading
Posted in Banking and Finance law
Tagged Advances, CFTC, chairman, Derivatives, European, final, Giancarlo, Global, Leader, regulation, Tour, vision
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