20 December 2014

Latest articles for Commodity Futures Trading Commission

 

CFTC finds deficiencies in market compliance

25 November 2014  |  1584 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission's Division of Market Oversight (Division) today issued three separate rule enforcement reviews of certain Designated Contract Markets (DCMs).

 

CFTC launches SmartCheck campaign to raise awareness on financial fraud

20 November 2014  |  1488 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) today launched CFTC SmartCheck, a new national campaign to help investors identify and protect themselves against financial fraud.

 

CFTC slaps banks with $1.4 billion penalty over FX benchmark rates manipulation

12 November 2014  |  967 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) issued five Orders filing and settling charges against Citibank N.A. (Citibank), HSBC Bank plc (HSBC), JPMorgan Chase Bank N.A. (JPMorgan), The Royal Bank of Scotland plc (RBS) and UBS AG (UBS) (collectively, the Banks) for attempted manipulation of, and for aiding and abetting other banks' attempts to manipulate, global foreign exchange (FX) benchmark rates to benefit the positions of certain traders.

 

CFTC fines Morgan Stanley Smith Barney for KYC failings

16 September 2014  |  1253 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  |  817 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  |  1279 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  |  888 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  |  827 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  |  869 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  |  3430 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.

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