25 Oct, 2024 The CFTC Amends Part 40 to Streamline and Improve Product Submission Processes By Carl Kennedy Nicholas Gervasi The Commodity Futures Trading Commission (CFTC) finalized amendments to its regulations governing how CFTC-registered exchanges,...
20 Jun, 2024 Redefining Limits: The CFTC's Updated Block and Cap Sizes for 2024 By Carl Kennedy Nicholas Gervasi The Division of Data (DOD) of the Commodity Futures Trading Commission (CFTC or the Commission) published updated post-initial...
17 Jun, 2024 CFTC Chairman Behnam Discusses the Regulatory Outlook Towards Voluntary Carbon Markets By Johnjerica Hodge India Williams Nicholas Gervasi Commodity Futures Trading Commission (CFTC) Chairman Rostin Behnam recently spoke about voluntary carbon markets (VCMs) in a speech...
15 May, 2024 FinCEN AML Alert Part 2: Customer Identification Program Requirements for Investment Advisers By Adam Bolter Nicholas Gervasi On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network...
03 May, 2024 FIX(ML)ing the Data Submission Standard: The CFTC’s Large Trader Rules Get a Makeover By Stephen Morris Nicholas Gervasi Part 17 of the CFTC’s regulations require futures commission merchants, clearing members of registered derivatives clearing...
05 Apr, 2024 Private Fund Adviser Rule Q&A: Spotlight On Restricted Activities By Adam Bolter Wendy Cohen Allison Yacker Christian Hennion Nicholas Gervasi +2 more... Show less Editorial Note: In follow up to our summary on the SEC's new private fund adviser rules, Katten attorneys share their views on...
27 Feb, 2024 Back to the Drawing-Board: The CFTC Re-Proposes Rules to Codify Letter 19-17 By Stephen Morris Just under 10 years ago, the Joint Audit Committee launched a shot across the bow of the futures industry with this seemingly innocuous...
26 Feb, 2024 Ensuring Everything Is Above Board: CFTC Proposes Simplified Rules for SEF and DCM Governance, Independence and Mitigating Conflicts of Interest By Nicholas Gervasi Carl Kennedy Seeking to ensure that designated contract markets (DCMs) and swap execution facilities (SEFs) adequately incorporate an independent...