The CFTC Division of Clearing and Risk granted relief to a derivatives clearing organization to permit the holding of customer funds at the Banque de France.
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The FIA Law & Compliance Audit Trail Working Group urged the CFTC to amend certain audit trail requirements.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for block trade violations.
The NFA provided guidance on the annual affirmation obligations for commodity pool operators and commodity trading advisors that are exempt from CFTC registration.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for spoofing and for violations of exchange block trading rules.