CFTC’s Division of Market Oversight Initiates Review of Swap Reporting Rules

The Division of Market Oversight of the Commodity Futures Trading Commission announced a “comprehensive review” of its swap data reporting requirements. DMO’s review will be conducted in two parts. First, the Division will examine swap data repositories’ operations, with emphasis on how SDRs validate incoming data and counterparties confirm data at SDRs. Secondly, the Division […]

CFTC Launches Review of Swap Reporting Regulations

On July 10, 2017, the Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC or Commission) announced the launch of a comprehensive review of the swap data reporting regulations1 adopted by the Commission under the Dodd-Frank Act.2 The review is a response to ongoing issues related to swaps data collected by swap data repositories […]

The Compounding and Value Connection

Jeff Auxier (Trades, Portfolio) has a place on the gurus list because of his outstanding, long-term track record. In examining that record, it is obvious he has underperformed the S&P 500 quite frequently, yet still has an enviable long-term chart. The keys to this long-term success are compounding from a strong start and managing risk to minimize […]

CFTC grants SEF registration to Bitcoin firm LedgerX LLC

The U.S. Commodity Futures Trading Commission (CFTC) announced that it has issued an Order of Registration to LedgerX LLC, granting it registration status with the CFTC as a Swap Execution Facility (SEF). LedgerX is a limited liability company registered in Delaware with its primary place of business in New York, NY. CFTC has approved the […]

SEC Reporting Rules: Fund Managers’ Recon Challenge

The US Securities and Exchange Commission uses the word modernization when speaking of its new reporting rules for registered investment fund advisers, but that’s not how asset managers see things. They dread the approaching tsunami, according to panelists and attendees at a recent TSAM North America fund management event held in New York. Fund managers […]

CFTC Adopts Amendments to its Recordkeeping Rules

On May 23, 2017, the Commodity Futures Trading Commission (“CFTC”) finalized rule amendments to its recordkeeping rule, CFTC Reg. 1.31, as well as related technical amendments to CFTC Regs. 1.35 and 23.203.[1] CFTC Reg. 1.31 specifies the form and manner in which records required by CFTC regulations must be kept by entities required to keep […]