The Commodity Futures Trading Commission (CFTC) undertook a series of initiatives in 2024 to address CFTC registrants’ and other industry participants’ use and application of AI technologies. While these actions do not constitute formal rulemaking or adoption of new regulations, they underscore CFTC’s continued awareness of and attention to the potential benefits and risks of AI on financial markets. Tracing CFTC’s 2024 initiatives may provide a preview of what to expect in 2025.

Continue reading the full GT Alert.

Tags: artificial intelligence, CFTC, financial regulatory and compliance, GT Insight
Print:
Email this postTweet this postLike this postShare this post on LinkedIn
Photo of Jeffry M. Henderson Jeffry M. Henderson

Jeffry M. Henderson, a former general counsel for a publicly traded futures commission merchant, has deep futures and derivatives industry experience. He focuses his practice on a variety of complex compliance, regulatory, investigation, litigation, and managed fund matters. This representation regularly involves futures,

…

Jeffry M. Henderson, a former general counsel for a publicly traded futures commission merchant, has deep futures and derivatives industry experience. He focuses his practice on a variety of complex compliance, regulatory, investigation, litigation, and managed fund matters. This representation regularly involves futures, derivatives, swaps, forex, securities, cryptocurrency, and binary options. He represents and advises a broad range of clients, including futures commission merchants, broker-dealers, investment advisers, commodity trading advisers, introducing brokers, forex trading firms, commodity pool operators, and hedge fund managers. He also provides counsel to a variety of industry participants, including proprietary trading firms and exempt investment managers regarding disclosure matters and compliance obligations and regulatory and enforcement matters. He is also regularly involved in defending member and member firms before CFTC, NFA, SEC and FINRA. He currently serves as a public director for an applicant Designated Contract Market and an applicant Designated Clearing Organization.

Read more about Jeffry M. Henderson
Show more Show less
Photo of Douglas E. Arend Douglas E. Arend

Douglas E. Arend focuses his practice on commodity futures, derivatives and securities, with an emphasis on managed funds. He represents registered and exempt investment advisers, commodity pools and hedge funds, proprietary trading firms, introducing brokers, futures commission merchants and broker-dealers. Douglas concentrates on…

Douglas E. Arend focuses his practice on commodity futures, derivatives and securities, with an emphasis on managed funds. He represents registered and exempt investment advisers, commodity pools and hedge funds, proprietary trading firms, introducing brokers, futures commission merchants and broker-dealers. Douglas concentrates on complex transactional and regulatory matters, including public and private offerings, fund formation, business structuring, registration and compliance. His public fund experience includes SEC registered offerings, and compliance with the Securities Act of 1933, the Dodd-Frank Act, the Commodity Exchange Act and CFTC regulations.

Read more about Douglas E. Arend
Show more Show less
Related Posts
Banking&FinancialServices_Proposal
CFTC Further Narrows Scope of Relief Under Regulation 4.7 'Registration Lite'
September 19, 2024
shutterstock_1363238018
Commodity Futures Trading Commission Issues Time-Limited Relief from CFTC Rule 1.56
October 1, 2020
shutterstock_79302157
CFTC Cancels and Replaces Proposed Regulation AT
July 6, 2020