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Financial Services Observer

News & Commentary on Financial Regulatory and Compliance Matters

Commodity Trading

CFTC Proposes Expanding Exemption for Non-U.S. Commodity Pool Operators

By Jeffry M. Henderson & Douglas E. Arend on June 9, 2020

Posted in CFTC, Commodities, Financial Regulation, Financial Services Litigation, Securities and Exchange Commission

On May 28, 2020, the Commodity Futures Trading Commission (CFTC or the Commission) proposed a rule (the 2020 Proposal) broadening the exemption under which non-U.S. commodity pool operators (CPOs)

…
Continue Reading CFTC Proposes Expanding Exemption for Non-U.S. Commodity Pool Operators

Coscia Gets 3 Years in Prison: The Criminalization of Trading Commodities?

By Harris L. Kay & Gregory K. Lawrence on July 27, 2016

Posted in CFTC, Commodities, Compliance, Risk Management

Sarao, Coscia, and now the Berkshire Power Company, each charged with crimes – spoofing, fraud, false information – relating to commodity trading. Commodity traders likely have incorporated into their compliance…
Continue Reading Coscia Gets 3 Years in Prison: The Criminalization of Trading Commodities?

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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