On April 17, 2025, the Market Participants Division, the Division of Clearing and Risk, and the Division of Market Oversight (collectively, the "Operating Divisions") of the CFTC, along with the Division of Enforcement...more
4/23/2025
/ CFTC ,
Compliance ,
Enforcement ,
Enforcement Actions ,
Financial Services Industry ,
New Guidance ,
Regulatory Oversight ,
Regulatory Requirements ,
Reporting Requirements ,
Risk Management ,
Self-Reporting
On January 20, 2025, the Commodity Futures Trading Commission ("CFTC") unanimously elected Commissioner Caroline D. Pham as acting chairman. The Administration has not yet identified who will be nominated for the position of...more
2/6/2025
/ Administrative Procedure Act ,
CFTC ,
Compliance ,
Digital Assets ,
Dodd-Frank ,
Enforcement Actions ,
Financial Regulatory Reform ,
GAO ,
National Futures Association ,
Popular ,
Proposed Rules ,
Regulatory Reform ,
Rulemaking Process ,
SBA ,
Securities and Exchange Commission (SEC)
The Commodity Futures Trading Commission (CFTC) released its final guidance regarding Designated Contract Markets' (DCMs) listing of voluntary carbon credit (VCC) derivative contracts for trading, marking a pivotal...more
11/18/2024
/ Carbon Taxes ,
CFTC ,
Compliance ,
Contract Terms ,
Department of Justice (DOJ) ,
Environmental Social & Governance (ESG) ,
Greenhouse Gas Emissions ,
Market Manipulation ,
Popular ,
Private Sector ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Tax Credits
On December 4, 2023 the CFTC issued proposed guidance regarding the listing of voluntary carbon credit ("VCC") derivative contracts ("Proposed Guidance"). The Proposed Guidance outlines factors that designated contract...more
While the initial swap dealer enforcement actions brought by the Commodity Futures Trading Commission (CFTC) focused on swap data reporting failures, recent enforcement efforts have focused on compliance with business conduct...more
5/26/2023
/ CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Compliance ,
Conflicts of Interest ,
Enforcement ,
Final Rules ,
Recordkeeping Requirements ,
Swap Dealers ,
Swaps ,
Transparency