Julie DiMauro3 min read
Jean Hurley, Hameed Shuja47 min listen
Jean Hurley3 min read
CFTC Rule 23.203
The rule requires that each office keeps a list, by name or title, of each person who can explain the types of records maintained in the office and the information contained in those records.
The records must be maintained in accordance with CFTC Rule 1.31
Swap data records must be maintained in accordance with CFTC Rule 45.2
Alleged false or misleading statements were made when describing risk management practices to commodity pool participants and prospects.
Julie DiMauro2 min read
Former CFTC Chair Behnam encouraged committee to support the expansion of the CFTC and SEC's mandate over the crypto market.
Julie DiMauro2 min read
Johnson said firms are leveraging AI to enhance their compliance and monitoring capabilities and meet regulatory mandates.
Julie DiMauro3 min read
The decision came despite “grave concerns” from outgoing CFTC Commissioner Kristin N. Johnson.
Alexander Barzacanos2 min read
The case highlights the urgent need for stablecoin regulation.
Alexander Barzacanos2 min read
Our in-brief roundup of notable stories from last week.
GRIP2 min read
Legal experts examined how blockchain technologies are challenging traditional regulatory models and redefining governance.
Vlada Gurvich4 min read
Our in-brief roundup also includes China's new crypto ownership restrictions, Trump's tariffs, and a multimillion dollar CIRO fine.
GRIP1 min read