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CFTC codifies relief for CPOs and CTAs, harmonizing rules with SEC
The U.S. Commodity Futures Trading Commission held a public meeting Nov. 25 in Washington, D.C., to discuss final amendments to several sections of the agency's Part 4 rules. The amendments, which passed in two separate packages, provided registration and compliance relief to certain types of commodity pool operators (CPOs) and commodity trading advisors (CTAs).
CONTINUE READINGChina continues to expand international derivatives access
Overseas traders now have access to four onshore commodity futures contracts
CONTINUE READINGCME to deploy FIA-led effort providing execution source clarity
Tag 1031 becomes mandatory on Globex Nov. 17
CONTINUE READINGPeople News: October/November 2019
Appointments, promotions and other people news in the derivatives industry
CONTINUE READINGCloud adoption increasing in derivatives markets, industry experts say
As skepticism fades, focus shifts to practical issues and cultural change
CONTINUE READINGCFTC's DSIO plans “thematic reviews” of large swap dealers and asset managers
After the swearing in of a new chairman in July, the U.S. Commodity Futures Trading Commission is staffed up and getting down to business. And based on recent remarks from Joshua Sterling, the agency's new director of the CFTC's Division of Swap Dealer and Intermediary Oversight, that business will include an increased focus on the oversight of swap dealers and asset managers.
CONTINUE READINGPeople News: September/October 2019
Appointments, promotions and other people news in the derivatives industry
CONTINUE READINGOpinion: Is CFTC overreaching in policing foreign corruption?
A central mandate of the U.S. Commodity Futures Trading Commission (CFTC) has always been to protect the public and preserve the integrity of commodity and commodity derivative markets. The CFTC's Division of Enforcement supports this mission by detecting, investigating and prosecuting violations of the Commodity Exchange Act (CEA). To achieve this mission, the enforcement division often coordinates its activities with other branches of the government, notably the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). To date, much of this coordination has focused on targeting fraud, manipulation and other forms of market misconduct.
CONTINUE READINGFCMs, CCPs debate 'skin in the game' and consolidation concerns
By most quantitative measures, the cleared derivatives industry is bigger and better than ever before. But based on comments at FIA Expo conference in Chicago on Oct. 30, future growth may not be as easy to achieve, and success may be measured by more qualitative measures such as compromise and communication. At an Expo panel discussion titled simply "The Health of the Industry," a diverse group of market participants discussed a myriad of factors shaping the cleared derivatives industry now as well as their expectations for the future.
CONTINUE READINGFacing the challenge of fostering diversity in derivatives
As with so many other areas of society, the financial industry has recognized the importance of fostering diversity in its workforce. That commitment to diversity was on display again at FIA Expo 2019, with a panel discussion on the efforts underway across the derivatives industry to improve representation of women and minorities at all levels.
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