Events listed in [CFTC] Commodity Futures Trading Commission

CFTC Approves Two Proposals and a DCO Application

ID 26341
On December 18, 2023, the Commodity Futures Trading Commission (CFTC) published a press statement to inform of three (legislative) outcomes of its last open hearing on December 13, 2023. Specifically, the CFTC informs that it has 1. approved proposed rule amendments to Statutory Instruments 17 CFR Part 1 and 17 CFR Part 23 to create an operational resilience framework for futures commission merchants (FCMs), ...

CFTC Divisions Issue Staff Advisory on Affiliations Among CFTC-Regulated Entities

ID 26339
Following the launch of a request for comment (RFC) to gather insights into and inform possible future regulation as regards potential issues arising from affiliations between CFTC-registered entities and market participants by the staff of the divisions of Market Oversight, Clearing and Risk, and Market Participants of the CFTC in June 2023 (EventID 21982), the divisions have now published a Staff advisory (23-16) in ...

CFTC Seeks Public Comment on Proposed Rule to Amend Capital and Financial Reporting ...

ID 26324
The Commodity Futures Trading Commission (CFTC) has published a press release to inform of the launch of a consultation as regards revisions to the financial reporting obligations of Swap Dealers (SDs) and Major Swap Participants (MSPs). The Commission thereby primarily seeks to ease financial reporting burdens on SDs and MSPs and clarify existing obligations following the implementation of these requirements in 2020 and subsequent ...

CFTC Approves Proposed Amendments to Regulations Regarding Real-Time Public ...

ID 26315
On December 15, 2023, the Commodity Futures Trading Commission (CFTC) published a press statement to inform that it has approved proposed rule amendments under Statutory Instruments 17 CFR Part 43 and 17 CFR Part 45 aimed at enhancing real-time public reporting and swap data recordkeeping and reporting. The proposed measures – designed to align with international data standards to ensure accurate, complete, and high-quality ...
Asset Management
conference / webinar

AgCon2024 Set for April 11-12

ID 26167
The US Commodity Futures Trading Commission (CFTC) has published a press statement to inform of the upcoming third Agricultural Commodity Futures Conference (AgCon2024) on April 11-12, 2024 in Overland Park, Kansas. As in the years before, the conference will be jointly hosted by the CFTC and the Center for Risk Management Education and Research (CRMER) at Kansas State University and aims to discuss „a ...

CFTC Issues Proposed Guidance Regarding the Listing of Voluntary Carbon Credit ...

ID 26059
The U.S. Commodity Futures Trading Commission (CFTC) has announced an upcoming consultation on a proposed Guidance on Listing VCC-Derivative Contracts. The guidance outlines specific issues that Designated Contract Markets (DCMs) should consider when contemplating the listing of Voluntary Carbon Credit (VCC) derivative contracts on their platforms. The noted issues are aimed at ensuring that VCC contracts align with regulatory standards, are less susceptible to ...

CFTC Releases FY 2023 Enforcement Results

ID 25685
On November 7, 2023, the Commodity Futures Trading Commission (CFTC) released its enforcement results for fiscal year 2023 which reveals an exceptionally high number of cases related to digital assets-related issues, regulatory obligation violations, market manipulations, and other serious misconduct. In fact, the Division of Enforcement (DOE) initiated 96 actions, tackling fraud, manipulation, and various violations across diverse markets, resulting in over $4.3 billion ...

CFTC Seeks Public Comment on a Proposal on Investment of Customer Funds

ID 25651
The U.S. Commodity Futures Trading Commission (CFTC) has announced an upcoming consultation on proposed revisions to the regulations governing the safeguarding and investment of client funds by futures commission merchants (FCMs) and derivatives clearing organizations (DCOs). Specifically, the CFTC seeks to expand the scope of permissible investments by FCMs and DCOs, replace the London InterBank Offered Rate (LIBOR) with SOFR, the *Secured Overnight Financing ...

CFTC and French AMF Sign MOU for Supervision of Certain Cross-Border Firms

ID 25534
The U.S. Commodity Futures Trading Commission (CFTC) has published a press release to inform of the signing of a Memorandum Of Understanding between the Commission itself and the French Autorité des marchés financiers (AMF) in connection with the cross-border supervision of covered entities. Specifically, the two regulators have agreed upon cooperating and exchanging information on the supervision of French swap dealers and major swap ...

CFTC Staff Issues No-Action Letter Regarding Certain Block and Cap Amendments

ID 25391
The U.S. Commodity Futures Trading Commission, CFTC, has published a press statement to inform that its Division of Data (DOD) has issued a new no-action relief letter (Staff Letter 23-15) in connection with certain reporting requirements of swap dealers and swap counterparties that would otherwise have to be met by December 4, 2023. To recap, in 2020, the CFTC created a new rule to ...
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