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Browse: Home / CFTC

CFTC

Statement of Commissioner Brian D. Quintenz on the End of His Term and Future Plans | CFTC

By Securities Docket on April 29, 2020, 8:24 am

I am deeply honored to have served as a Commissioner at the Commodity Futures Trading Commission over the last two and half years, as well as to have been a part of an administration that has assembled one of the best financial regulatory teams across the federal government.  My five-year statutory term as a Commissioner […]

Posted in Industry, People, Top | Tagged CFTC, Regulators

Former CFTC chair takes fintech role at New York law firm – Reuters

By Securities Docket on December 3, 2019, 8:40 am

Chris Giancarlo, who was chair of the U.S. Commodity Futures Trading Commission (CFTC) until July, has been named senior counsel to New York-headquartered law firm Willkie Farr & Gallagher, the company said in a statement on Monday. Giancarlo was chair of the CFTC, the world’s leading derivatives regulator, from August 2017 to July this year […]

Posted in People, Top | Tagged CFTC, Regulators

A New Roadmap: CFTC Releases Its First-Ever Public Enforcement Manual | Insights | Sidley Austin LLP

By Securities Docket on May 16, 2019, 7:27 am

On May 8, 2019, the Commodity Futures Trading Commission (CFTC) Division of Enforcement (DOE or Division) released its first publicly available Enforcement Manual. The Manual provides an overview of the Division and sets out the general policies and procedures that guide its Staff in detecting, investigating and prosecuting violations of the Commodity Exchange Act (CEA) […]

Posted in Regulation | Tagged CFTC

Former $1M+ Allen & Overy Partner Gets Trump Nod to Lead Commodities Agency | National Law Journal

By Securities Docket on December 13, 2018, 8:41 am

A former top Allen & Overy regulatory partner who had represented some of the world’s largest banks and financial institutions is the Trump administration’s nominee to lead the U.S. Commodity Futures Trading Commission. Heath Tarbert, who joined Allen & Overy in 2014, had been the head of the U.S. bank regulatory group and a leader […]

Posted in Industry, People, Top | Tagged CFTC, Regulators

Whistleblower gets $30M in JPMorgan case – New York Business Journal

By Securities Docket on July 16, 2018, 9:08 am

The Commodity Futures Trading Commission (CFTC) has approved a record $30 million whistle-blower award to a financial investigator for his role in exposing a scam at JPMorgan Chase. via Whistleblower gets $30M in JPMorgan case – New York Business Journal.

Posted in Industry, Top | Tagged CFTC, Whistleblowers

Attention All Cryptocurrency Exchanges: Beware the Ides of March | LinkedIn

By Securities Docket on March 11, 2018, 12:18 pm

Notice to all cryptocurrency exchanges: Be prepared for a relentless U.S. regulatory onslaught. That seems to be the clear warning embodied in three actions taken last week by the U.S. Securities and Exchange Commission (SEC); the Financial Crimes Enforcement Network (FinCEN) at the U.S. Department of the Treasury; and the U.S. Commodity Futures Trading Commission […]

Posted in SEC, Top | Tagged CFTC, Cryptocurrency, FinCEN

Regulators Are Looking at Cryptocurrency – WSJ

By Securities Docket on January 25, 2018, 9:04 am

Distributed ledger technology, or DLT, is the advancement that underpins an array of new financial products, including cryptocurrencies and digital payment services. Many have identified DLT as the next great driver of economic efficiency. Some have even compared it to productivity-driving innovations such as the steam engine and personal computer. Our task, as market regulators, […]

Posted in SEC, Top | Tagged CFTC, Cryptocurrency

SEC.gov | Joint Statement by SEC and CFTC Enforcement Directors Regarding Virtual Currency Enforcement Actions

By Securities Docket on January 19, 2018, 12:23 pm

“When market participants engage in fraud under the guise of offering digital instruments – whether characterized as virtual currencies, coins, tokens, or the like – the SEC and the CFTC will look beyond form, examine the substance of the activity and prosecute violations of the federal securities and commodities laws. The Divisions of Enforcement for […]

Posted in SEC, Top | Tagged CFTC, Virtual Currency

Enforcement Chief to Step Down at Financial Derivatives Regulator – The New York Times

By Securities Docket on January 18, 2017, 2:10 pm

One of the Obama administration’s few remaining Wall Street enforcers is stepping down. Aitan Goelman, head of the Commodity Futures Trading Commission’s enforcement division, announced his departure on Wednesday during a broad exodus of prosecutors and regulators in the Obama administration’s final days. via Enforcement Chief to Step Down at Financial Derivatives Regulator – The […]

Posted in Industry, People, Top | Tagged CFTC

CFTC whistleblower program finally scores big with $10 million award | Compliance Week

By Securities Docket on April 8, 2016, 11:03 am

The U.S. Commodity Futures Trading Commission had been off to a slow start on its Dodd-Frank whistleblower program, having paid out just two awards totaling $530,000 over the entire life of the program. That changed dramatically this week, however, when the CFTC announced a huge award of more than $10 million. via CFTC whistleblower program […]

Posted in Industry, Top | Tagged CFTC, Whistleblowers

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