CFTC Chairman Issues Directive on Staff Letters and Guidance
CFTC Chairman Heath Tarbert has publicly issued a directive to the staff on the use of staff letters and guidance.
November 05, 2020
Tags: CFTC, Heath Tarbert
CFTC Chair Warns of Risks, Presses for Transition Away From LIBOR
CFTC Chairman Heath Tarbert is calling on the private sector to do its part to embrace the ISDA supplement and fallback protocol as the markets transition away from LIBOR.
October 20, 2020
Tags: CFTC, Heath Tarbert, Libor
CFTC Reduces Filing Burdens for CPOs, Formalizes Agreement with FSOC to Provide Form CPO-PQR Data
CFTC Chairman Heath Tarbert led the CFTC to a unanimous vote to streamline the requirements for commodity pool operators to provide data to that agency on Form CPO-PQR.
October 08, 2020
The Commodity Futures Trading Commission’s Division of Enforcement has issued new guidance on how the Division will evaluate compliance programs in connection with enforcement matters.
September 22, 2020
Tags: CFTC
The IAA has joined other trade associations in an August 5 letter to the CFTC supporting its May 28 adoption of an interim final rule and issuance of a proposed rule delaying implementation dates related to initial margin requirements (IM) for uncleared swaps for swap dealers and major swap participants.
August 20, 2020
Tags: CFTC, Coronavirus, COVID-19
IAA Comments on Proposal for Registration Exemption for Offshore Pools Operated by Non-U.S. Operator
The IAA and other buy-side trade associations filed a letter on August 11 on the CFTC’s proposed amendments to the registration exemption in CFTC Rule 3.10(c)(3) for offshore commodity pool operators of offshore pools.
August 20, 2020
On July 23, the CFTC voted 3-2 to adopt a final rule that addresses the cross-border application of the registration thresholds for and certain requirements applicable to swap dealers and major swap participants.
August 11, 2020
Tags: CFTC, Cross Border
New CFTC Strategic Plan Includes Harmonizing Regulations for Dually Registered CFTC and SEC Firms
In its newly published 2020-2024 Strategic Plan, the CFTC identifies a new set of core values that include commitment, forward-thinking, teamwork, and clarity.
July 14, 2020
Tags: CFTC
SEC, DOL, CFTC, FinCEN Issue Updates to 2020 Regulatory Agendas
Federal agencies recently released the spring 2020 update to their regulatory agendas.
July 14, 2020
Tags: CFTC, DOL, FinCEN, Regulatory Agendas, SEC
Volcker Rule Covered Fund Amendments Welcomed by Bank-Affiliated Asset Managers
The five agencies charged with implementing the Volcker Rule have issued final amendments to the regulations governing the so-called “covered fund” prohibition.
June 29, 2020
Tags: Bank-Affiliated Asset Managers, CFTC, Hedge Funds, Private Equity, Volcker Rule