23 October 2014

Latest articles for Commodity Futures Trading Commission

 

CFTC fines Morgan Stanley Smith Barney for KYC failings

16 September 2014  |  1118 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Morgan Stanley Smith Barney, LLC (Morgan Stanley), a CFTC-registered Futures Commission Merchant, for improper supervision and records violations.

 

Industry lobby attacks CFTC's surveillance plans

06 August 2014  |  762 views  |  0 Company announcement

FIA and the FIA Principal Traders Group sent a letter to the Commodity Futures Trading Commission yesterday, urging the CFTC to leverage existing resources as it works to develop a 21st-century surveillance system.

 

CFTC fines JPMorgan for erroneous large trader reporting

29 July 2014  |  1162 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against J.P. Morgan Securities LLC (JPMS), a wholly-owned subsidiary of JPMorgan Chase & Co. and a CFTC-registered Futures Commission Merchant (FCM), for submitting inaccurate reports to the CFTC relating to the required reporting of positions held by certain large traders whose accounts are carried by JPMS.

 

CFTC extends designation of DTCC-Swift as LEI provider

29 July 2014  |  814 views  |  0 Company announcement

In order to further the smooth transition to a global system of legal entity identification, the U.S. Commodity Futures Trading Commission (Commission) issued an Amended and Restated Order on July 22, 2014, extending the designation of the utility operated by DTCC-Swift as the provider of legal entity identifiers, or LEIs, pursuant to the Commission's swap data recordkeeping and reporting rules.

 

CFTC commissioner Scott O'Malia quits

22 July 2014  |  778 views  |  0 Company announcement

Today Commissioner Scott D. O'Malia sent the attached letter to President Barack Obama announcing his resignation from the Commission effective August 8, 2014.

 

CFTC and OFR collaborate on swaps data collation

01 April 2014  |  843 views  |  0 Company announcement

The Commodity Futures Trading Commission Acting Chairman Mark Wetjen and Office of Financial Research Director Richard Berner today announced a Memorandum of Understanding on the terms and conditions for the CFTC and OFR to begin a joint project to enhance the quality, types and formats of data collected from registered swap data repositories.

 

Financial standards lost in translation

27 March 2014  |  3281 views  |  0 Video

Andrei Kirilenko, professor of the practice of finance at the MIT Sloan School of Management and former chief economist at the CFTC, explains how to bridge the gap between regulation and implementation and how to bring stakeholders in financial standards together.

 

CFTC must improve data quality - O'Malia

26 March 2014  |  3264 views  |  0 Video

Commissioner O'Malia talks about how the CFTC needs to move into the 20th century and use tech to crunch the big data questions. He also call for international agreement on sharing of swaps data and cooperation on tackling data quality.

 

CFTC requests public comment on swaps data reporting rules

20 March 2014  |  782 views  |  0 Company announcement

The Commodity Futures Trading Commission (Commission) today approved for publication in the Federal Register a request for public comment on the Commission's swap data recordkeeping and reporting requirements under part 45 and related provisions.

 

O'Malia slams CFTC over tech investment

06 March 2014  |  2063 views  |  0 News

Commodity Futures Trading Commission commissioner Scott O'Malia has slammed his own organisation for spending money on people, rather than technology.

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