The CFTC released enforcement materiality guidelines for CFTC-registered non-US swap dealers relying on substituted compliance with their home country’s rules in place of CFTC obligations. The CFTC also released a letter clarifying the... Read more »
The SEC and CFTC further extended the compliance date for amendments to Form PF. The agencies jointly adopted the amendments in February 2024 to enhance private fund reporting, and were originally set... Read more »
The CFTC issued advisory on criteria for referring self-reported violations to the Division of Enforcement (DOE). The advisory specifies that only material supervision or non-compliance issues, such as those causing harm to... Read more »
The CFTC clarified that foreign exchange (FX) spot transactions, involving currency delivery within two business days, are not swaps subject to CFTC swaps rules. The CFTC also specified that certain US Treasury... Read more »
The CFTC’s Market Participants Division (MPD) issued No-Action Letter 25-09, providing relief from the obligation of swap dealers to provide their non-dealer swap counterparties with a pre-trade mid-market mark (PTMMM) for the... Read more »
The CFTC has withdrawn two staff advisories on clearing and exchange trading of crypto and digital asset derivatives. Source link Read more »
The CFTC issued Letter 25-05, withdrawing controversial Staff Letter 21-19 (SEF Registration Advisory), issued in September 2019 to remind entities of the swap execution facility (SEF) registration requirements set out in Commodity... Read more »
The CFTC issued an advisory on how the Division of Enforcement will evaluate a party’s self-reporting, cooperation, and remediation when recommending enforcement actions to the CFTC. Source link Read more »
Acting CFTC Chair Caroline D. Pham announced a reorganization of the CFTC Division of Enforcement’s task forces to refocus on combatting fraud while “ending the practice of regulation by enforcement.” The CFTC... Read more »
CFTC Requests Comment on 24/7 Trading and Perpetual Derivatives