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Searching Content indexed under Financial Services by Theodore M. Kneller ordered by Published Date Descending.
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Ninth Circuit Holds Cftc Dodd-Frank Enforcement Authority Allows Fraud-Only Claims
On July 25, 2019, the Ninth Circuit reinstated the Commodity Futures Trading Commission's (CFTC) lawsuit in CFTC v. Monex Credit Co.,1 interpreting the CFTC's Dodd-Frank enforcement
United States
5 Aug 2019
2
CFTC Signals Foreign Corrupt Practices Investigations
On March 6, 2019, the Commodity Futures Trading Commission's (CFTC or Commission) Division of Enforcement (Division) published an advisory on self-reporting and cooperation for violations of the Commodity Exchange Act.
UK
17 May 2019
3
CFTC Proposes Sweeping Swap Reporting Amendments Aimed At Improving Data Accuracy And Completeness
On April 25, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for public comment proposed amendments to the rules governing swap data repositories (SDRs)
UK
16 May 2019
4
CFTC Adopts Permanent $8 Billion Threshold For Swap Dealer De Minimis Exception
On November 5, 2018, the Commodity Futures Trading Commission (CFTC) voted 5-0 to approve a final rule amending the swap dealer registration trigger or activity threshold.
United States
19 Nov 2018
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