Derivatives and securities dealers and some of their market users are locked in a potentially consequential debate over what legal standards should be adopted to govern pre-hedging (also called “pre-positioning” or...more
In an advisory announced February 25, 2025, the Division of Enforcement of the Commodity Futures Trading Commission (CFTC or Commission) announced a new regime for assessing cooperation credit in determining fines in the...more
3/6/2025
/ CFTC ,
Compliance ,
Cooperation ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Regulatory Reform ,
Good Faith ,
Mitigation ,
Remediation ,
Reporting Requirements ,
Self-Reporting ,
Settlement ,
Voluntary Disclosure
On October 2, 2024, the Commodity Futures Trading Commission (CFTC), the US Department of Justice (DOJ), and the Securities and Exchange Commission (SEC) announced parallel prosecutions charging a carbon credit project...more