Displaying results 1851 - 1856 of 1856
Dissenting Statement of Commissioner Dan M. Berkovitz Regarding Proposed Rulemaking on Swap Execution Facilities and Trade Execution Requirement
… requirements do not unduly restrict the availability of clearing services by futures commission merchants (“FCMs”). … consequences of discouraging FCMs from providing additional clearing services to the cleared swaps market. Enable … NFA, leaving a regulatory vacuum with no self-regulatory organization oversight.   Already strained Commission …
Created on:
Illicit Finance and Other Key Risks of Digital Assets: Keynote at City Week 2023
… use multiple affiliates to serve as exchanges, brokers, clearing agencies, and other functions (known as vertical … their funds mixed with North Korea cybergangs or terrorist organizations.   Legally compliant crypto companies should … Crypto Assets: Remarks before the International Swaps and Derivatives Association’s Crypto Forum 2022, New York   …
Created on:
Statement of Commissioner Dan M. Berkovitz Related to Review of ErisX Certification of NFL Futures Contracts
…   The Commission needs the power to, and should, prevent derivatives contracts that are contrary to the public … system of effective self-regulation of trading facilities, clearing systems, market participants and market … promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation.” [54] …
Created on:
Speech of Enforcement Director James M. McDonald Regarding Enforcement trends at the CFTC, NYU School of Law: Program on Corporate Compliance & Enforcement
… market integrity.   Well-functioning commodity and derivatives markets are necessary to ensure the stability in …
Created on:
Keynote Address by Commissioner Christy Goldsmith Romero at The Wharton School and the University of Pennsylvania Carey Law School
… an utter failure of corporate controls at every level of an organization, from the lack of financial statements to a … Crypto Assets: Remarks before the International Swaps and Derivatives Association’s Crypto Forum 2022 ,  New York   … a digital currency futures and options exchange and clearinghouse that is regulated by the CFTC, did not file …
Created on:
Remarks of CFTC Commissioner Rostin Behnam at the ASIFMA 2018 Annual Conference: Developing Asia’s Capital Markets, Singapore
… within our industry such that regulators, self-regulatory organizations, and private industry develop a closed … before FIA/SIFMA Asset Management Group, Asset Management Derivatives Forum 2018, Dana Point, California (Feb. 8, …
Created on: