Swap dealers
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US Customers gain access to Japan’s Yen swap market
A CFTC no-action letter means that the commission will not take enforcement action against the JSCC for clearing swaps for US clients and US customers will gain access to better pricing and liquidity.
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SIFMA Annual 2024: Rostin Behnam on digital assets, betting markets and treasury clearing
Our latest report on keynote speeches at the recent SIFMA event in New York features CFTC Chair Rostin Behnam.
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CFTC clarifies capital and financial reporting requirements for swap dealers and major swap participants
The changes to Part 23 include the fine-tuning and harmonization of various rules including the tangible net worth approach and financial reporting requirements.
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CFTC fines swap dealer $500,000 for supervision failures
The company failed to ensure that thousands of orders were not timely surveilled for spoofing.
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CFTC proposes new rule on cyber and operational resilience
Rule proposed to protect agriculture, energy, metals, and financial markets.
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CFTC fines Goldman Sachs for failure to preserve audio recordings during pandemic
Civil fine relates to Goldman’s prior recordkeeping failures, but there is some dissent from Commissioners over sanctions.
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CFTC roundup: the largest bitcoin fraud scheme and highest civil monetary penalty action
This week’s roundup of CFTC actions includes a South African CEO charged for Forex fraud, and details of a precious metals fraud scheme.
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CFTC fines Goldman Sachs $15m over swap trading violations
Goldman Sachs failed to disclose PTMMMs, and allegedly traded at times that were financially advantageous to the company and disadvantageous to the clients.