A swap dealer settled charges with the CFTC for failing to retain audio files due to vendor system failures.
News & Insights
924 News Results
The SEC and the CFTC ordered significant civil monetary penalties for recordkeeping violations in connection with unauthorized off-channel communication methods.
The CFTC set a comment deadline of September 18, 2023 for potential amendments to the risk management program and reporting requirements for swap dealers and futures commission merchants.
CFTC staff extended temporary no-action relief for bank swap dealers from certain financial reporting requirements.
The CFTC approved a "made-available-to-trade" determination for certain overnight index swaps referencing the Secured Overnight Financing Rate and Sterling Overnight Index Average.