Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
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A swap dealer settled charges for failing to adhere to "pre-trade mid-market mark" compliance requirements.
A swap dealer settled CFTC charges for failing to appropriately disclose certain "pre-hedging" activities in FX transactions in violation of CFTC external business conduct requirements.
A swap dealer settled CFTC charges relating to a failure to disclose the pre-trade-mid-market-mark ("PTMMM") of equity index swaps.
The CFTC Market Participants Division issued a new letter expanding the scope of relief from certain rules for "intended-to-be-cleared" swaps.