Dodd-Frank Derivatives
CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports
Derivatives The CFTC is proposing to amend its regulations regarding certain duties of chief compliance officers, or CCOs, of swap dealers, major swap participants and futures commission merchants, which are referred to as registrants. The CFTC is also proposing to amend requirements for preparing and furnishing to the Commission an annual report containing an assessment of […] Read more →
CFTC Initiates Project KISS
Derivatives In remarks at a conference, CFTC Acting Chairman J. Christopher Giancarlo announced the CFTC’s intent to comply with an Executive Order which requires each agency to... Read more →
Corzine Settles CFTC’s MF Global Charges for $5 Million
Derivatives, Employment, Executive Compensation, Litigation The U.S. Commodity Futures Trading Commission has obtained a federal court Consent Order against Defendant Jon S. Corzine, former CEO of MF Global Inc., requiring him to pay a $5... Read more →
SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps
Derivatives, Litigation, Public Companies and Securities The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold... Read more →