A CPO and its principal agreed to settle CFTC charges for fraudulent misallocation of trades and recordkeeping failures.
News & Insights
The CFTC Division of Swap Dealer and Intermediary Oversight exempted a futures commission merchant from certain audited financial reports requirements.
A registered futures commission merchant agreed to settle CFTC and National Futures Association charges relating to an unlawful post-execution allocation scheme.
The CFTC Division of Market Oversight extended previously issued relief to swap execution facilities from the requirement to capture post-execution information in their audit trail data.
The Board of the International Organization of Securities Commissions (IOSCO) issued a statement on research conducted by the IOSCO Task Force on OTC Derivatives Regulation concerning credit default swap auction processes and the functioning of the ISDA Credit Determinations Committees.