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Remarks of Enforcement Director Ian McGinley at the New York University School of Law Program on Corporate Compliance and Enforcement: “The Right Touch: Updated Guidance on Penalties, Monitors, and Admissions”
… imposing compliance Monitors and Consultants as part of our settlements. [8] And we are requiring admissions in our settlements. [9] This is not accidental.  They reflect … to achieve the right balance between incentivizing settlements and deterring misconduct.  In my view, the …
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2013-07634
... Federal Register, Volume 78 Issue 63 (Tuesday, April 2, 2013)[Federal Register Volume 78, Number 63 (Tuesday, April 2, 2013)] [Notices] [Pages 19879-19915] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2013-07634] [[Page 19879]] Vol. 78 Tuesday, No. 63 April 2, 2013 Part III Commodity…
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Concurring Statement of Commissioner Christy Goldsmith Romero in the Classic Energy Natural Gas Insider Trading Case
… more defendants to admit wrongdoing in CFTC enforcement settlements.  The HEAT Test is designed to identify those … and maximizing the deterrent impact of its enforcement settlements because of challenges facing commodities … Heightened Enforcement Accountability and Transparency in Settlements | CFTC (September 19, 2022). [7] The consent …
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e9-25238
... FR Doc E9-25238[Federal Register: October 26, 2009 (Volume 74, Number 205)] [Notices] [Page 54966-54969] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr26oc09-37…
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e9-25238
... FR Doc E9-25238[Federal Register: October 26, 2009 (Volume 74, Number 205)] [Notices] [Page 54966-54969] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr26oc09-37…
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Statement of Commissioner Caroline D. Pham on Risk Management Program for Swap Dealers and Futures Commission Merchants Advance Notice of Proposed Rulemaking
...I support the Advance Notice of Proposed Rulemaking (ANPRM) seeking public comment on potential amendments to the Risk Management Program (RMP) requirements in CFTC rules 23.600 and 1.11[1] (collectively, RMP Rules) applicable to swap dealers and futures commission merchants (FCMs), respectively.  I believe in continuous improvement for not only our market participants, but for…
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Statement of Commissioner Kristin N. Johnson Regarding Notice of Proposed Rulemaking Making Amendments to Parts 43 and 45 Swap Data Reporting Technical Specifications
… Roberts and Lee Baker of OCE. [1]   Bank for International Settlements, BIS Quarterly Review , June 2018 at …
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2012-16983
… paper is available on the Bank for International Settlements (``BIS'') Web site (www.bis.org), the IOSCO Web … paper is available on the Bank for International Settlements (``BIS'') Web site (www.bis.org), the IOSCO Web …
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Statement of Commissioner Kristin N. Johnson Supporting Enforcement Action Against Bitcoin Fraud
...Today, the Commodity Futures Trading Commission (CFTC or Commission) instituted a settled public administrative proceeding against Phillip J. Reichenthal (Reichenthal) and Randy Craig Levine (Levine), for engaging in digital asset fraud. Reichenthal and Levine engaged in a scheme to defraud bitcoin investors through off-exchange bitcoin transactions.  Reichenthal, an attorney licensed…
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Contracts & Products
...Agricultural trade options are tools for managing agricultural price risk exposure. They are referred to as “trade options” because, unlike exchange-traded options, which are bought and sold on a designated contract market, agricultural trade options are bought and sold off-exchange directly between commercial market participants for business-related purposes. Apart from their “over-the-…
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