by Sudhir Jain and Jamila Piracci | Oct 13, 2021 | Patomak Post
In September 2021, just days prior to its fiscal year end, the Commodity Futures Trading Commission (CFTC) announced enforcement actions against four Swap Dealers, with monetary fines ranging from $750,000 to $1.5 million. Here are four takeaways from these actions:...
by Tim Tian and Jamila Piracci | Sep 8, 2021 | Patomak Post
Mark Twain is credited with coining the phrase “it is wiser to find out than suppose” and at times the maxim holds true today, particularly by any regulated community. Earlier this summer, the Commodity Futures Trading Commission (CFTC) released an advisory clarifying...
by Jamila Piracci and Ted Serafini | Jul 27, 2021 | Patomak Post
The Securities and Exchange Commission (the SEC or Commission) received more than 400 comment letters in response to then-SEC Acting Chairman Allison Herren Lee’s March 2021 request for public input on the Commission’s existing climate change disclosure requirements...
by Jill Sommers and Jamila Piracci | Dec 3, 2020 | U.S. Regulatory Update
The Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), and the Department of Justice (DOJ) have all issued 2020 guidance informing market participants about evaluations and determinations by enforcement staff and prosecutors in...
by Jill Sommers and Jamila Piracci | Jun 1, 2020 | Patomak Post
The Commodity Futures Trading Commission (CFTC) voted 5-0 during its open meeting on May 28 to adopt an interim final rule to extend the September 2020 compliance date (Phase 5) for regulatory Initial Margin (IM) , to September 1, 2021. This action is in line with the...
