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...I am pleased that the CFTC has provided substantial credit to Barclays Bank PLC, a non-U.S. swap dealer, for self-reporting, cooperation, and remediation efforts, including two issues previously identified in a National Futures Association (NFA) exam and self-disclosed to the CFTC pursuant to the swap dealer annual compliance report requirement.[1] This is a move in the right direction for the…
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… of clarity and transparency. The Pitfalls of Interpreting Settlements Despite statutory and regulatory intricacies, of the more than 20 recent settlements related to violations of both Section 4g of the … these matters. Unfortunately, I cannot support further settlements with IBs concerning offline communications …
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...Washington, DC – Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s settlement order regarding Nasdaq Futures, Inc. (NFX):
“Unfortunately, today’s action is about beating a dead market that de-registered with the CFTC in 2020. Exchange incentive programs are commonplace in both securities and derivatives…
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...Washington, DC – Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham today released the following statement on the CFTC’s recent settlement order regarding The Bank of New York Mellon:
“I am pleased that the CFTC has provided recognition of self-reporting and cooperation credit in this settlement order with The Bank of New York Mellon. I hope the CFTC will adopt a…
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… This settlement and the Commission’s earlier “DeFi Sweep” settlements raise transparency questions and concerns around …
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… in and of itself, can establish a violation. Moreover, SEC settlements under its similarly worded rule do not …
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...Washington, D.C.—Commodity Futures Trading Commission (CFTC) Commissioner Caroline D. Pham released the following statement regarding the CFTC’s administrative order regarding Trafigura Trading LLC announced today:
“While I commend the CFTC Division of Enforcement for their efforts to pursue manipulation in global markets, the Commission inappropriately tacks on an additional charge…
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...Today, the Commodity Futures Trading Commission (Commission or CFTC) announced a settlement agreement with J.P. Morgan Securities LLC (J.P. Morgan) following over a decade of trade surveillance supervision failures in violation of Regulation 166.3.[1]
Supervision is the cornerstone of customer protection. From its inception in the 1970s, the Commission has emphasized that supervision is a…
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...[Federal Register Volume 89, Number 199 (Tuesday, October 15, 2024)]
[Rules and Regulations]
[Pages 83378-83407]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-23105]
[[Page 83377]]
Vol. 89
Tuesday,
No. 199
October 15, 2024
Part VI
Commodity Futures Trading Commission…
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...The Global Markets Advisory Committee (GMAC) was created in 1998 to advise the Commission on issues that affect the integrity and competitiveness of U.S. markets and U.S. firms engaged in global business, including the regulatory challenges of a global marketplace that reflects the increasing interconnectedness of markets and the multinational nature of business. The GMAC also makes…
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