The NFA submitted to the CFTC proposed changes to compliance rules, bylaws and interpretive guidance related to Member Questionnaires requirements.
News & Insights
The CFTC and French financial regulators have signed a Memorandum of Understanding aimed at facilitating cooperation and the exchange of information related to supervising covered institutions that operate on a cross-border basis in the United States and France.
A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
The CFTC set a comment deadline of August 28, 2023 on an application submitted by the Institute of International Bankers, ISDA and SIFMA to determine whether German and French capital and financial reporting requirements are comparable to the CFTC’s requirements for swap dealers.
The CFTC requested comment on an application submitted by the Institute of International Bankers, ISDA and SIFMA to determine whether German and French capital and financial reporting requirements are comparable to the CFTC’s requirements for swap dealers.