Cftc notices
WebFeb 18, 2024 · On December 1, 2024, the NFA issued a notice reminding its members of the annual affirmation requirement for persons or entities claiming an exemption or exclusion from registration as a CPO or CTA under applicable CFTC regulations. 1 This client alert summarizes the key points from the NFA’s notice. Authors: Joseph M. Motto Zachary J. … WebFeb 18, 2024 · A Member may meet its obligations under this Notice through the holding company's procurement or vendor management department as long as it addresses the areas described in the Notice with respect to the Member. 4 CFTC Regulation 1.11(e)(3)(i)(A)-(B) requires FCMs to conduct onboarding and ongoing due diligence on …
Cftc notices
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http://www.cffex.com.cn/en_new/Notices/20240414/32102.html WebJul 1, 2003 · interpretive notice In October 2001, the CFTC issued a Statement of Acceptable Practices ("Statement") for ethics training. This Statement replaces the Commission's prescriptive ethics training rule and allows flexibility in the format, frequency and providers of ethics training, permitting each firm to tailor its training program to better ...
WebAug 17, 2024 · The CFTC Wells Notice stated that the CFTC staff made a preliminary determination to recommend that the CFTC file an enforcement action against USCF, USO, and Mr. Love alleging violations of Sections 4o(1)(A) and (B) and 6(c)(1) of the Commodity Exchange Act, as amended (the "CEA"), 7 U.S.C. §§ 6o(1)(A) ... WebApr 14, 2024 · For CSI 1000 index options, contract months with single counted (long or short) aggregate positions of 20,000 lots or more and the current month shall be …
WebAug 28, 2024 · The U.S. Congress enacted the Class Action Fairness Act (CAFA) to protect consumers and to prevent potential attorney’s fee abuses. CAFA, as defined in 28 U.S.C. § 1711 – 1715, imposes an obligation on all class action defendants to serve notices of proposed class action settlements to “appropriate federal officials” in the states in which … WebSep 1, 2024 · Data at CFTC Commitments of Traders Weekly Swaps Report Bank Participation Reports Cotton On-Call Financial Data for FCMS Net Position Changes …
Web( i) A swap dealer or major swap participant that files a notice of adjustment of its reported capital category with the Federal Reserve Board, the Office of the Comptroller of the …
Web1. What are the CFTC Initial Margin Segregation Regulations? Swap dealers and major swap participants are required to notify counterparties of their right to require segregation … robert half timesheet login usaWebThe information must have led to a successful resolution of CFTC action or a Related Action; The whistleblower, upon CFTC staff’s request, must provide certain additional information; The whistleblower must have submitted an award application (Form WB-APP) in response to a Notice of Covered Action or a final judgment in a Related Action or both robert half timecardWebAug 16, 2013 · IntroductionOn August 12, 2013, the U.S. Commodity Futures Trading Commission adopted final regulations with respect to commodity pool operators (“CPOs”) of registered investment companies (“RICs”).1 The CFTC’s action will permit CPOs to RICs to satisfy the disclosure, reporting, and recordkeeping requirements that would otherwise … robert half timesheet login caWeb7 hours ago · The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend its derivatives clearing organization (DCO) risk management regulations adopted under the Commodity Exchange Act (CEA) to permit futures commission merchants (FCMs) that are clearing members (clearing FCMs) to treat the Start Printed … robert half timecard approvalWebMay 23, 2024 · The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) have recently issued guidance with respect to privacy notices and customer data. The CFTC also proposed a rule to improve the quality and transparency of swaps data. Taken together, this recent guidance reflects a focus on … robert half timesheet portal loginhttp://www.cffex.com.cn/en_new/Notices/20240414/32102.html robert half timesheet login portalWebJun 8, 2024 · The Commodity Futures Trading Commission (“CFTC” or “Commission”) is seeking public responses to this Request for Information to better inform its understanding and oversight of climate-related financial risk as pertinent to the derivatives markets and underlying commodities markets. Public responses to this request will help to inform ... robert half timesheet portal uk