This panel provides an overview of the CFTC’s considerable volume of enforcement activity in 2020. Panelists focus on enforcement trends and developments while also recapping the busy regulatory agenda of the outgoing administration. The panel provides a look ahead to what market participants can expect from the CFTC under the incoming Biden Administration in 2021.
In this webinar, speakers discussed the recently published FIA Market Surveillance Guidelines and addressed requirements expected by the UK’s Financial Conduct Authority relating to market abuse systems and controls that market participants are required to have pursuant to Article 16 MAR.
London, UK – FIA today released new guidelines to assist market participants in fulfilling obligations set by UK and European regulators in relation to surveillance and market abuse requirements.
This past March, a group of venture capital firms and banking organizations led by BNP Paribas invested $30 million into Digital Reasoning, a privately held company based in Nashville that is emerging as one of the leaders in using artificial intelligence to analyze human communications.
On Aug. 7, the CFTC announced a settlement with The Bank of Tokyo-Mitsubishi UFJ for engaging in "multiple acts of spoofing" in interest rate futures listed on the Chicago Mercantile Exchange and the Chicago Board of Trade.
On Sept. 19, FIA filed a comment letter with the Federal Energy Regulatory Commission, the agency that oversees U.S. wholesale markets for physical power and natural gas, seeking clarification about the scope of a proposed rule aimed at strengthening FERC’s ability to prevent market manipulation.
FIA submitted its response jointly with the International Swaps and Derivatives Association to ESMA’s consultation on guidelines on information required or reasonably expected to be disclosed on commodity derivatives markets or related spot contracts under Art 7 (5) of the Market Abuse Regulation.
FIA today submitted its response, along with Association for Financial Markets Europe (AFME), British Bankers Association (BBA) and International Swaps and Derivatives Association, to FCA's consultation paper on changes to the Handbook relating to implementation of the Market Abuse Regulation.
