In a joint final rule, the SEC and CFTC adopted amendments to Form PF that require more information on private funds.
News & Insights
The CFTC extended the comment deadline to March 18, 2024 for a proposed rule to improve the protection of funds and assets pledged by clearing members of a Derivative Clearing Organization.
CFTC Commissioner Kristin N. Johnson defended the CFTC's "efforts to advance inquiries regarding the integration of AI in our markets and to explore the need to introduce guardrails to mitigate the risks that AI technologies may present."
In yesterday's newsletter, we identified two CFTC Advisories as newly updated guidance on cooperation that can affect civil monetary penalties in enforcement actions. The updates are current, but they are not new.
The CFTC Division of Enforcement issued guidance as to the standard by which it assesses a firm's level of cooperation with enforcement investigations.