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Opening Statement of Commissioner Christy Goldsmith Romero, Meeting of the CFTC Market Risk Advisory Committee
… potential inability to provide a rationale demonstrating fiduciary duties; etc.). The Commission (including through …
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Determine if Your Case is Eligible for the Reparations Program
… make a decision about futures or option trading Breach of fiduciary duty – a failure by a broker or salesperson to act with … make a decision about futures or option trading Breach of fiduciary duty – a failure by a broker or salesperson to act …
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CFTC Technology Advisory Committee Advances Report and Recommendations to the CFTC on Responsible Artificial Intelligence in Financial Markets
… potential inability to provide a rationale demonstrating fiduciary duties; etc.). The Commission (including through …
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e8-27177
… are clearly compensatory and * * * involve the breach of a fiduciary duty, prejudgment interest, while a matter of discretion, … are clearly compensatory and * * * involve the breach of a fiduciary duty, prejudgment interest, while a matter of …
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Keynote Address of Commissioner Kristin Johnson at UC Berkeley Law Crypto Regulation Virtual Conference
… well as the limitations of customer protections that impose fiduciary liability. *** The CFTC has long acknowledged—and … enforcement and administrative actions asserted—that a fiduciary relationship may exist between Commission … between a CTA and her customer may give rise to a fiduciary duty. [25]  The Commission found, however, that a fiduciary …
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Keynote of Commissioner Christy Goldsmith Romero on The Power of Representation and Financial Inclusion in the American Dream
… you have, comes the enormous responsibility of fiduciary duty to all that you serve—a duty that is paramount to … to help them build and protect their American Dream.   Your fiduciary duty to your clients sets you apart.   More than …
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2023-14361
… NADEX  stated that an RMC member's ability to waive their fiduciary duties to  their employing firm would be dependent … waive claims against corporate directors for breach of fiduciary  duties.\25\ NADEX further argued that because the … that the Commission clarify that a  director's fiduciary duty to the DCO does not render that director non- …
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Remarks of Commissioner Christy Goldsmith Romero: Financial Stability is Foundational for Consumer Protection
… for investment advice or other areas that could touch on fiduciary duties or other regulatory duties, in order to …
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Statement of Commissioner Caroline D. Pham in Support of Final Rule on Governance Requirements for Derivatives Clearing Organizations
… regarding the duties of the board of directors, including fiduciary duties.  I believe that the proposal’s concept of …
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2010-31588
… Fair Pricing and the Appropriateness of the Swap 7. ERISA Fiduciary 8. Restrictions on Political Contributions by … for swaps. The Commission also is directed to establish a duty for swap dealers and major swap participants to … the relationship, swap dealers might also have common law fiduciary duties to their counterparties. Cf. Commodity …
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