Today the National Futures Association issued a press release announcing that its board approved the formation of a Swaps Proficiency Requirements Advisory Committee which will oversee the development of a Swaps Proficiency program for individuals to be tested on, according to the Commodity Exchange Act’s training standards. The exam would test Associated Persons on market […]
CFTC No Action from Including International Swaps for Global Development CFTC Reduces Marketplace Barriers for Global Development Initiatives May 16, 2018 Washington, DC — The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) today granted relief to non-US counterparties who enter into swaps with International Financial Institutions (IFIs), such as development banks. […]
April saw the most enforcement actions by the CFTC for the year 2018. Some of these were the typical commodity pool schemes, precious metals schemes, spoofing, and fraud in Retail Forex; yet other enforcement actions involved new technologies such as Binary Options fraud relying on technology.
RED List Identifies Entities Operating Illegally for Binary Options and Forex Washington, DC — As part of the Commodity Futures Trading Commission’s (CFTC) ongoing efforts to help protect Americans from fraud, today the CFTC added 21 new names to the Registration Deficient List (RED List). These 21 new additions bring the total number of foreign entities […]
It seems safe to assume that the SEF registration rules will disrupt these trends, as traders will be more inclined to conduct business via single-trade platforms in order to circumvent the process altogether.
While some traders plan to fall back on other options for their insights, such as the New York Mercantile Exchange, these reports don’t offer as much data as the CFTC’s.
President Barack Obama met with Wall St regulators on Monday, August 19th 2013 to discuss the progress made after the 2010 passing of the Dodd-Frank Act.
Hurricane Sandy took a physical toll on New York City, but a joint meeting of the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and the Commodity Futures Trading Commission (CFTC) on the topic of disaster recovery, proved that it’s not just physical damage that companies are worried about.
Also in his testimony, Gensler cited the recent progress made with cross-border swaps regulation in addition to registration of securities as positive steps forward in the CFTC’s aim to create transparency in the futures industry.
The impacts of the Commodities Futures Trading Commission’s (CFTC) response to cross-border swaps are yet unknown. With a 75 day period of guidance in addition implementation of the final ruling, this unprecedented move by the CFTC may deeply impact the derivatives market.
Houston, TX —FIA President and CEO Walt Lukken today made the following opening remarks at the FIA Commodities Symposium in Houston, Texas. The following remarks are prepared for delivery:...FIA President and CEO Walt Lukken today made the following statement on the successful Senate confirmation of Dr. Heath Tarbert to serve as chairman of the Commodity Futures Trading Commission (...London, U.K.—FIA’s President and CEO Walt Lukken today made the following statement on the release “FIA appreciates the hard work and special attention the G-20 leaders and the FSB are...London, U.K.— FIA’s President and CEO Walt Lukken today gave opening remarks at FIA’s International Derivatives Expo. Remarks are prepared for delivery: Welcome to FIA’s 12th...FIA has submitted an amicus brief to the U.S. District Court for the Northern District of Illinois in a case that will decide the permissible venues for the arbitration of futures trading disputes... FIA Speaks features CFTC Chairman Giancarlo as the guest for Episode #1; New Episodes Coming Soon Washington, DC – FIA today launched FIA Speaks—a podcast to provide... London, U.K. —FIA President and CEO Walt Lukken today named Bruce Savage as the new Head of Europe. Savage, who will join FIA this summer, has spent 21 years with Deutsche Bank in a variety of... (Feed generated with FetchRSS) […]
CPMI and IOSCO press release about "A discussion paper on central counterparty default management auctions", 5 June 2019 […]
CPMI press release: A new online database allows easy navigation of the current and past CPMI and IOSCO Level 2 assessments, 31 May 2019 […]
CPMI publishes new data on correspondent banking networks showing 20% reduction in relationships over seven years, 27 May 2019 […]
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Press Release - Basel Committee reports on Basel III implementation progress, 7 May 2019. Release of the "Sixteenth progress report on adoption of the Basel regulatory framework". […]
Press release about Basel Committee issuing a consolidated version of its standards (9 April 2019) […]
FINRA and the SEC’s Office of Investor Education and Advocacy are issuing this Investor Alert to inform investors about social sentiment investing tools and highlight their risks. This Alert provides tips to consider before using tools that analyze or aggregate information from social media sources to make investment decisions or attempt to predict changes in the stock market’s direction or in the price of a security. […]
Press release about "2019 Triennial Central Bank Survey of Foreign Exchange and OTC Derivatives Markets" (29 March 2019) […]
Press release about Basel Committee publishing follow-up reports on Basel III implementation assessments (25 March 2019) […]
Press Release - Carolyn Rogers appointed as the next Secretary General of the Basel Committee, 22 March 2019. […]
Press Release - Basel III monitoring results published by the Basel Committee, 20 March 2019. […]
FINRA is aware of a recent scheme that involved an unregistered individual impersonating a registered investment professional to lure in potential investors. This scammer created a fake version of a public FINRA BrokerCheck® report of a legitimate broker—picking an experienced broker with a spotless regulatory record. […]
CPMI Press release "Jurisdictions move forward towards implementing standards for payment, clearing and settlement", 14 March 2019 […]
Press release about Pablo Hernández de Cos appointed as Chairman of Basel Committee on Banking Supervision […]
Press release about Basel Committee assessing Brazil's implementation of the NSFR regulation and the large exposures framework, 7 March 2019. […]
BIS Press Release - The March 2019 issue of the BIS Quarterly Review - Markets retreat and rebound […]
Press release about BCBS/IOSCO statement on the final implementation phases of the Margin requirements for non-centrally cleared derivatives, 5 March 2019. […]
Fake checks purported to be issued by FINRA appear to be back in circulation in 2019. The checks are counterfeit. Our updated Alert warns the public about job-search scams in which people who respond to ads or online job postings receive checks that appear to be from legitimate companies—including FINRA. […]
Press release about Basel Committee discussing policy and supervisory initiatives and approves implementation reports, 28 February 2019. […]