Monthly Archives: September 2016

CFTC Issues Fourth Penalty for Inaccurate Large Trader Reporting of Swaps

By Anthony Mansfield, Paul Pantano, Jonathan Flynn and Natalie Mitchell On September 27, 2016, the U.S. Commodity Futures Trading Commission (“CFTC” or the “Commission”) issued a fourth penalty for violations of its Swaps Large Trader Reporting (“Swaps LTR”) rule.  This time, the penalty was … Continue reading

Posted in CFTC, Commodity Trading, Regulation

The Federal Reserve’s Proposed Rollback of Physical Commodities Authority for Financial Holding Companies

On September 23, 2016, the Board of Governors of the Federal Reserve System (the “FRB”) issued a proposed regulation concerning the ability of a financial holding company (“FHC”) to engage in physical commodities activities (the “Commodities Proposal”).  The Commodities Proposal … Continue reading

Posted in Uncategorized