Tag: CFTC
Federal Agencies Release Spring 2021 Regulatory Agendas
Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities.
June 16, 2021
Tags: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management
In his first remarks to the Financial Stability Oversight Council (FSOC) since becoming SEC Chair, Gary Gensler reiterated his agency’s focus on enhancing the resiliency of money market funds.
June 15, 2021
Tags: CFTC, Derivatives, FSOC, Gary Gensler, Libor, Money Market Fund, Regulatory Agendas, Rostin Behnam
CFTC Staff Issues Updated Form CPO-PQR FAQs to Reflect Revised Form
The CFTC Market Participants Division has published 20 new frequently asked questions related to Form CPO-PQR and CFTC Rule 4.27, both of which were revised in October 2020.
June 15, 2021
CFTC Establishes New Climate Risk Unit to Focus on Role of Derivatives
CFTC Acting Chairman Rostin Behnam announced that he has established a CFTC Climate Risk Unit (CRU) to focus on the role of derivatives in understanding, pricing, and addressing climate-related risk and transitioning to a low-carbon economy.
March 23, 2021
NFA Proposes New Requirement for CPOs to File a Notice upon Certain Market Events or Pool Redemption
The NFA recently announced that it proposed new compliance rule 2-50.
March 17, 2021
Tags: CFTC
Federal Agencies Issue Fall 2020 Regulatory Agendas; Custody Moves to Long-Term Agenda
An update on the SEC’s, FinCEN’s, DOL’s, and CFTC’s regulatory agendas as they relate to investment advisers.
December 21, 2020
Tags: AML, CFTC, Custody, SEC Investment Management
CFTC Releases Digital Assets Primer
The Commodity Futures Trading Commission’s LabCFTC has published a Digital Assets Primer, which builds on a primer on virtual currencies that LabCFTC put out in 2017.
December 21, 2020
Tags: CFTC, Digital Assets
Agencies Announce More Leadership Changes
Heath Tarbert and Stehpanie Avakian will depart the CFTC and SEC, respectively.
December 10, 2020
Tags: CFTC, Heath Tarbert, Jay Clayton, SEC Appointments, Stephanie Avakian
The Regulatory Impact of Artificial Intelligence on Asset Managers
AI is already having an impact on the investment management industry – an impact that may continue to grow.
November 23, 2020
Tags: AI, Artificial Intelligence , CFTC, Columns, Compliance Corner
CFTC Announces Organizational Changes to Boost Operational Effectiveness
The Commodity Futures Trading Commission has announced a new reorganization plan that includes the creation of four new operating divisions.
November 05, 2020
Tags: CFTC
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