ASIC has issued a statement clarifying the documentation required by foreign firms when applying for exemption, the objective being to make the process easier
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Fears relating to curtailing of CFTC cross-border swap jurisdiction confirmed
US Government signs off bill scaling back the CFTC’s power to control swaps in other countries, after a year of planning global regulatory standardization
Read MoreCFTC appoints leader of investigation into interdealer broker LIBOR fixing as Chief Counsel
Notable for her efforts in overseeing the LIBOR investigation, Gretchen Lowe assumes the position of Principal Deputy Director and Chief Counsel in the CFTC’s Division of Enforcement.
Read MoreUtah federal court hands down $44 million in sanctions for fraud and misappropriation
CFTC cites Robert J. Andres of Houston, Texas, his company, Winsome Investment Trust, Robert L. Holloway of San Diego, California, and his company US Ventures LC, in civil monetary penalty of $32,370,000 and restitution for defrauded customers totaling $12 million.
Read MoreNewly appointed CFTC Chairman announces key hires
Series of senior appointments have been made by CFTC Chairman Timothy Massad as he begins his term at the top of the US federal regulator.
Read MoreEx-GFI Executive VP turns regulator as J.Christopher Giancarlo sworn as CFTC commissioner
CFTC’s most recently elected Commissioner joins the US regulatory authority after substantial experience in the electronic trading industry at senior level.
Read MoreCFTC and ASIC sign US-Australia cooperation MOU
US authorities expand willingness to strengthen global regulatory framework for OTC derivatives by cooperating with Australian financial regulator.
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