Cftc regulation §23.402 c
WebBusiness Conduct Standards: SD Members are required to obtain and retain a record of essential facts to accurately categorize their counterparties to facilitate compliance with various regulatory requirements pursuant to CFTC Regulation 23.402. The failure to properly identify and classify counterparties may result in non-compliance with other ... WebOct 1, 2024 · The Eleventh Circuit also found fraud liability in the absence of market manipulation under Section 6(c)(1) and Rule 180.1(a) in CFTC v. Southern Trust Metals, Inc. 18 The CFTC alleged that the defendants had defrauded customers in violation of CEA Sections 4b and 6(c)(1) and Rule 180.1. The defendants had allegedly promised to …
Cftc regulation §23.402 c
Did you know?
Web§ 23.402: General provisions. §§ 23.403-23.409 [Reserved] § 23.410: Prohibition on fraud, manipulation, and other abusive practices. §§ 23.411-23.429 [Reserved] § 23.430: … WebSep 26, 2024 · The Commodity Futures Trading Commission (CFTC) is an independent federal agency that regulates the derivatives markets, including futures contracts, options, and swaps, in the United States....
WebCOLLECTION OF CLAIMS OWED THE UNITED STATES ARISING FROM ACTIVITIES UNDER THE COMMISSION'S JURISDICTION. 144. 144.0 to 144.6. PROCEDURES REGARDING THE DISCLOSURE OF INFORMATION AND THE TESTIMONY OF PRESENT OR FORMER OFFICERS AND EMPLOYEES IN RESPONSE TO … WebFor the full text of the CFTC Regulation, see 78 Fed. Reg. 66621 (Nov. 6, 2013) (adopting CFTC Regulations 23.700-23.704) CFTC Regulation 23.701(c) CFTC Regulation 23.701(d) CFTC Regulation 23.701(d) See Fed. Reg. at 66621 & n. 1 See Fed. Reg. at 66621 & n. 2 CFTC Regulation 23.701(a)(2) Deutsche Bank . Corporate Banking & …
Web§ 23.402 General provisions. ( a ) Policies and procedures to ensure compliance and prevent evasion. ( 1 ) Swap dealers and major swap participants shall have written … WebConsumer Protection Act to implement amended Sections 6(c)(1) and 6(c)(3) of the Commodity Exchange Act, respectively. Rule 180.1 was modeled after Section 10(b) and Rule 10b-5 of the Securities and Exchange Act of 1934. The rule broadly prohibits fraud and fraud-based manipulations, including any such attempts.
WebElectronic Code of Federal Regulations (e-CFR) Title 17 - Commodity and Securities Exchanges; CHAPTER I - COMMODITY FUTURES TRADING COMMISSION; PART 23 …
WebThis term means any department, division, group, or personnel of a swap dealer or major swap participant or any of its affiliates, whether or not identified as such, that … tea based smoothieWebFeb 13, 2024 · On January 30, 2024, the Commodity Futures Trading Commission (CFTC) unanimously approved proposed amendments (SEF Proposed Rules) to CFTC regulations related to the execution of package transactions, the correction of error trades and the execution of block trades on swap execution facilities (SEFs). 1 The proposal … tea bath recipesWebOct 6, 2024 · A Member SD or MSP that is required to file any document with or give any notice to a registered futures association under CFTC Regulations 23.105(c)-(h), (j), and (l)-(m)[Financial recordkeeping, reporting and notification requirements for swap dealers and major swap participants] or receives an approval or a confirmation from the CFTC under ... tea bathing suitsWebPolicies and Procedures (17 C.F.R. §23.402(a)): Requires that an SD/MSP have policies and procedures reasonably designed to ensure compliance and prevent evasion of applicable provisions of the CEA and CFTC regulations and to implement and monitor compliance with such provisions as part of its supervision and risk management … tea bathurstWebNotwithstanding any other provision of § 23.23, for purposes of determining whether a non-U.S. person (other than a significant risk subsidiary or a non-U.S. person whose performance under the swap is subject to a guarantee by a U.S. person) engages in more than a de minimis quantity of swap dealing activity under paragraph (4) (i) of the swap … tea bath for sunburnWebAs provided in § 23.402 (d), the swap dealer may rely on written representations of the Special Entity to satisfy its requirement in paragraph (c) (2) of this section to make “reasonable efforts” to obtain necessary information. Parallel Table of Authorities tea bathtub vineWebBusiness Conduct Standards: SD Members are required to obtain and retain a record of essential facts to accurately categorize their counterparties to facilitate compliance with various regulatory requirements pursuant to CFTC Regulation 23.402. tea baths