All posts tagged "CFTC"
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484InternationalCFTC Adopts Rule Changes to Facilitate Foreign Swaps Clearing
The CFTC has extended no-action relief for non-US swap dealers from reporting requirements, and finalised rules for exempting non-US clearinghouses from registration requirements.
November 29, 2020 -
2.0KAsia-PacificTrade Reporting Compliance and Market Risk: An IHS Markit View
IHS Markit's Julian Chesser and Sage Patel discuss trade reporting and regulatory challenges the industry is expected to face in the year ahead.
November 20, 2020 -
966Australia & NZCFTC Exempts BSE, NSE IFSC, NZX from FCM Registration
BSE, NSE IFSC, and NZX will be allowed to accept US customer funds directly for trading in futures and options contracts without having to register as futures commission merchants.
November 6, 2020 -
800Securities & Trading
CFTC Exempts More Singapore RMOs from SEF Registration
The move brings the total number of exempted approved exchanges and recognised market operators authorised in Singapore to 13.
November 5, 2020 -
529Hong KongHKFE Obtains CFTC Certification for Non-USD MSCI Contracts
The Hong Kong Futures Exchange has received CFTC certification for its SGD Singapore futures contract and two JPY Japan contracts.
October 15, 2020 -
1.1KAML / KYCUS Justice Dept Publishes Cryptocurrency Enforcement Framework
The framework provides a detailed threat overview, cataloging the three categories into which most illicit uses of cryptocurrency typically fall.
October 13, 2020 -
737Hong Kong
HKFE Obtains CFTC Certification for More MSCI Contracts
Two broad-based Taiwan equity index contracts have received CFTC certification, allowing them to be offered and sold to persons in the US.
October 7, 2020 -
661Enforcement
CFTC Fines Morgan Stanley Over Inaccurate Swaps Reporting
Morgan Stanley’s cooperation with the CFTC investigation was rewarded with a reduced civil monetary penalty of $5mn.
October 7, 2020 -
1.5KAML / KYCBitMEX Founders Charged for Evading AML Requirements
Four individuals were charged for "willfully" failing to establish, implement, and maintain an adequate AML programme that included a KYC component.
October 3, 2020 -
640EnforcementCFTC Settles Charges Against Citi Over Deleted Audio Recordings
Citi's audio preservation system deleted more than 2.77 million audio files, including recordings that were subject to a December 2017 CFTC subpoena.
October 2, 2020
