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Compliance & Regulation Forum: Fintech & Digital Assets
Compliance & Regulation Forum: Fintech & Digital Assets
CONTINUE READINGAsset Management Derivatives Forum 2020
Attracting more than 400 executives, the annual Asset Management Derivatives Forum brings together market participants from all sides of a trade to examine the latest developments in global derivatives trading and clearing, operations and regulation
CONTINUE READINGCFTC and SRO enforcement trends: the year in review
2019 was a busy year for CFTC and SRO enforcement.
CONTINUE READINGCompliance and Regulation Forum: Sustainable Finance
Compliance and Regulation Forum: Sustainable Finance
CONTINUE READINGFIA - European Operations Committee Meeting
FIA - European Operations Committee Meeting
CONTINUE READINGCompliance and Regulation Forum: The Future of Cross-border Market Regulation
The UK’s departure from Europe is changing the nature of cross-border market regulation with strains developing between the EU and third countries. This member-forum will consider the future of the equivalence approach and how this will impact access to market infrastructure across borders, as well as discussing how third-country firms can continue to provide services to clients in Europe.
CONTINUE READINGCompliance and Regulation Forum: The Future of Cross-border Market Regulation
Compliance and Regulation Forum: The Future of Cross-border Market Regulation
CONTINUE READINGCybersecurity Workshop
Is your firm prepared for a ransomware attack? Join the Market Technology Division on Tuesday, October 29 for an interactive cybersecurity workshop that takes you through a ransomware scenario that potentially poses systemic risk to the futures markets and participants. Bring your colleagues that would need to collaborate under a dramatic market disruption scenario, including teams that need to communicate, address issues and ensure business continuity on behalf of the clearing house, clearing members and buy-side participants.
CONTINUE READINGCFTC’s Jurisdiction over Fraud in the Cash Markets: Are there any Limits?
The Dodd Frank Act added a Section 6(c)(1) to the Commodity Exchange Act, entitled “Prohibition Against Manipulation.” Section 6(c)(1) authorized the CFTC to promulgate rules and regulations prohibiting any person to use or employ any manipulative or deceptive device or contrivance in connection with, among other things, a contract for sale of any commodity in interstate commerce. Are there any limits to the application of the resulting CFTC regulation parroting 6(c)(1)’s language prohibiting the use of manipulative or deceptive devices in the sale of a commodity in interstate commerce?
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