依据大户报告制度，期货佣金商和国外经纪人（称为“报告公司”）需向美国商品期货交易委员会（CFTC）提交每日报告，报告其账户中达到特定水平的期货或期权头寸。这一报告门槛因市场不同而有所差异，小规模市场需报告25手，而如芝加哥商业交易所的欧洲美元期货市场等大市场，则要求报告3000手。这些报告中汇总...
Commodity Futures Trading Commission (CFTC) has started publishing a new paper called Traders in Financial Futures (TFF). The report offers a breakdown of each Tuesday's open interest for markets in which 20 or more traders hold positions equal to or above the reporting levels established by ...
Cooperation, and Remediation (Advisory). The Advisory is the Enforcement Division’s “sole policy on self-reporting, cooperation, and remediation,” rescinding the Enforcement Division’s prior guidance.1
The Report asks the CFTC to consider expanding its risk management and quarterly risk exposure reporting rules to cover material climate-related risks, as a better understanding emerges of risk-transmission pathways and where material climate risks lie. SIFMU resilience review. The ...
The Commodity Futures Trading Commission (CFTC) has unanimously approved amendments to the real-time swap reporting rules in Part 43 of the CFTC’s regulations by, among other things, clarifying the applicability of the rules to swaps executed in a prime brokerage agency arrangement. The CFTC pr...
or separating from numerous individuals who were responsible for the conduct, appointing new senior executives, implementing improvements to the monitoring, reporting, and verification of VCCs, launching new trainings, and amending policies to ensure future compliance. The developer’s cooperatio...
The CFTC's regulations require covered entities to report daily information regarding certain large derivatives positions. The CFTC uses this information for surveillance and reporting purposes. To facilitate this reporting, the CFTC established
CFTC Releases Enforcement Advisory on Self-Reporting, Cooperation, and Remediation Read More > February 14, 2025 Acting Chairman Pham Announces Brian Young as Director of Enforcement Read More > February 10, 2025 ‘Dating or Defrauding?’ a Joint Effort to Alert Online Daters, Social Media Users...
(albeit substantially lower than the penalties imposed in the Libor and foreign exchange spate of cases). The CFTC praised each of the financial institutions for their cooperation and UBS’ additional self-reporting, which the CFTC said led to reduced penalties.7The CFTC’s orders highlighted th...
DerivSource provides industry analysis, expert Q&As and commentary articles on derivatives regulation and compliance including regulatory change impacting trade execution via SEFs, CCP clearing, collateral management, trade and regulatory reporting and regtech trends. Regulations covered include: UMR margin ...