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                  • December 06, 2019

                    NFA Proposes Amendments to Apply Certain Customer Information and Risk Disclosure Requirements to Cleared Swaps

                    NFA proposed amendments to (i) expand obligations involving discretionary customer accounts, and (ii) clarify rules and interpretations on discretionary accounts, customer information, risk disclosures and bunched orders.
                  • December 04, 2019

                    CFTC Chair Heath Tarbert Sets Strategic Priorities for 2019

                    CFTC Chair Heath P. Tarbert described five strategic goals for the agency and outlined related action plans.
                  • November 26, 2019

                    Swap Dealer Penalized for Technology Malfunctions

                    A swap dealer settled CFTC charges for failing to provide certain audio recordings during an investigation.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • November 18, 2019

                    CFTC DSIO Director Considers Regulatory Oversight of CPOs and CTAs

                    CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling described the CFTC’s role in overseeing CPOs and CTAs in light of the growing size and agility of the firms in the asset management industry.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • November 12, 2019

                    Trade Associations Urge European Commission to Extend Temporary Equivalence of UK CCPs

                    A group of fourteen trade associations urged the European Commission to grant an extension for the temporary equivalence for UK central counterparties until certain regulatory implementations have been made under EMIR 2.2 and until the European Securities and Markets Authority.
                  • November 07, 2019

                    Federal Register: Prudential Regulators Propose Amendments to Swap Margin Rules

                    U.S. prudential regulators' proposed rule amendments governing margin requirements for uncleared swaps and security-based swaps were published in the Federal Register.
                  • October 31, 2019

                    CFTC DSIO Director Clarifies Goals of Thematic Review Program

                    ​CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling provided clarification on the CFTC's announcement that it would conduct "targeted thematic reviews" of CPOs and swap dealers.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • October 31, 2019

                    Swiss Company Settles CFTC and SEC Charges for Registration Failures

                    A Swiss company settled separate CFTC and SEC charges for (i) acting as a futures commission merchant without registering with the agency and (ii) dealing in unregistered security-based swaps.
                  • October 28, 2019

                    Prudential Regulators Propose Amendments to Swap Margin Rules

                    The Federal Reserve Board, Farm Credit Administration, Federal Housing Finance Agency and OCC proposed rule amendments governing margin requirements for uncleared swaps and security-based swaps.
                  • October 28, 2019

                    CFTC Advisory Committee Establishes Subcommittee on Swaps Margin

                    The CFTC Global Markets Advisory Committee established a subcommittee on margin requirements for uncleared swaps.
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