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
On August 13, 2021, the Commodity Futures Trading Commission (“CFTC” or “Commission”) approved a settlement to resolve allegations that Tyson Foods, Inc. (“Tyson”) exceeded the CFTC’s position limits for soybean meal futures...more
On February 12, 2018, the Commodity Futures Trading Commission (CFTC) settled charges against AMP Global Clearing LLC (AMP), a futures commission merchant (FCM), for the company’s failure to adequately supervise one of its IT...more
3/13/2018
/ CFTC ,
Civil Monetary Penalty ,
Cybersecurity ,
Data Breach Plans ,
Data Loss Prevention ,
Data Protection ,
Enforcement Actions ,
Information Governance ,
Information Systems Security Program (ISSP) ,
Personally Identifiable Information ,
Popular ,
Third-Party Service Provider ,
Vendors
The Federal Energy Regulatory Commission’s (FERC’s) Office of Enforcement (Enforcement) recently released its annual report on enforcement activities for 2014. As is typical, Enforcement identified its primary concerns as...more