Cftc enforcement notices

Order: BNP Paribas (CFTC Docket No. 22-19, Jul. 5, 2022) The Commission posts Notices of Covered Actions for each Commission enforcement action where a final judgment or order - by itself or together with prior judgments or orders in the same action issued after July 21, 2010 - results in monetary sanctions exceeding $1 million. Notice I-22-15 May 18, 2022 Since October 2020, NFA has allowed swap dealers (SD) to include the Secured Overnight Financing Rate (SOFR) in ISDA's Standard Initial Margin Model (SIMM) calculations by using an overnight index swap proxy, subject to certain conditions. Or, to submit the form by mail or facsimile, print out the Form TCR and mail or fax the completed form to: CFTC, Whistleblower Office, 1155 21st Street, NW, Washington, DC 20581. Fax Number (202) 418-5975. PLEASE NOTE: To help ensure your privacy and security, unless you affirmatively extend your session when prompted, the online form will The Manual also details important CFTC enforcement policies and initiatives, including those related to the DOE's self-reporting and cooperation program, efforts to work in parallel with other civil and criminal agencies, the CFTC's Whistleblower program, and the Wells process. whether the Wells Notice would alert potential defendants The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an exemption from CTA registration under 4.14(a)(8) (collectively, exemption) to annually affirm the applicable notice of exemption continuing to press the message that implementing and enforcing an effective compliance program is a business imperative, not an optional "best practice," on 10 september 2020, the commodity May 18, 2022 Notice of Covered Action No. 2022-009 - Kraft Foods Group, Inc. and Mondelēz Global LLC Award Claims Due No Later than August 16, 2022 The Commodity Futures Trading Commission hereby gives notice that individuals may submit whistleblower award claims within 90 days from today's date for the following matter: You will then need to re-access the form to re-enter information in all the fields. Fields marked with a red exclamation () are required SECTION A. COMPLAINANT INFORMATION (TELL US ABOUT YOURSELF) Complainant 1 Type Person Entity Street Address Zip/Postal Code Country Home Phone Work Phone Fax Phone Email Address Add Complainant CFTC Enforcement and Regulatory Report: 2020 in Review and 2021 Outlook. February 2021, Futures and Derivatives Law Report. View More. Futures and Derivatives - Commodity Futures Trading Commission (CFTC) Professional. Eric H. Holder, Jr. Professional. Eric H. Holder, Jr. Professional. Commodity Futures Trading Commission. Whistleblower Office. 1155 21st Street, NW. Washington, DC 20581. Fax: (202) 418-5975. All award claims for this Notice must be received no later than October 5, 2022. Please note that by posting a Notice of Covered Action, the Commission has not made any determination that a whistleblower tip, complaint or nfa's responsibilities include registering all firms and industry professionals on behalf of the cftc, passing rules to ensure fair dealing with customers, examining and investigating members for compliance with those rules, taking enforcement actions against members that violate nfa's rules, administering proficiency examinations for individuals … In accordance with Section 17 of