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  • US Department Of Justice: Two Former Deutsche Bank Traders Convicted Of Engaging In Deceptive And Manipulative Trading Practices In U.S. Commodities Markets

    Date 25/09/2020

    A Chicago federal jury found two former employees of Deutsche Bank, a global financial institution, guilty today of fraud charges for their respective roles in fraudulent and manipulative trading practices involving publicly-traded precious metals futures contracts.

  • CFTC Commissioner Brian Quintenz Statement Of Support For OCR No-Action Relief

    Date 25/09/2020

    The Commission adopted revisions to its Ownership and Control Reports (OCR) regime in 2013.  The updated forms were supposed to provide the Commission with greater insight into who owns and who controls futures and swaps accounts.  They were also supposed to provide the Commission with information, for the first time, about market participants who trade large volumes in the futures and swaps markets, but end the day without reportable positions.  Unfortunately, the 2013 revisions have proven to be unworkable for reporting entities.  For example, reporting entities have found impractical the low 50-contract reporting threshold and the requirement to report to the Commission the names of trading account owners by 9 a.m. ET on the business day following the day on which the account becomes reportable.  This is why some of the requirements have been the subject of successive no-action letters since the 2013 amendments.  I support today’s extension of no-action relief that provides critical relief from the most burdensome and confusing requirements of the OCR forms.


  • Financial Stability Oversight Council Meeting

    Date 25/09/2020

    On Friday, September 25, Secretary Mnuchin presided over a meeting of the Financial Stability Oversight Council (Council).

    The Dodd-Frank Wall Street Reform and Consumer Protection Act requires the Council to convene no less than quarterly, but the Council has historically convened on a more frequent basis. The meetings bring Council members together to discuss and analyze emerging market developments and financial regulatory issues.  The Council is committed to conducting its business as openly and transparently as practicable, given the confidential supervisory and sensitive information at the center of its work.  Consistent with the Council's transparency policy, the Council opens its meetings to the public whenever possible. 


  • SEC Issues Two Whistleblower Awards For High-Quality Information Regarding Overseas Conduct

    Date 25/09/2020

    The Securities and Exchange Commission today announced two separate whistleblower awards for total payments of over $2.5 million. 

  • CFTC Staff Extends Relief From Certain Reporting Obligations Under The Ownership And Control Reports Final Rule

    Date 25/09/2020

    The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) today issued a no-action letter that extends current relief from reporting obligations under the ownership and control reports final rule (OCR Final Rule). The OCR Final Rule, approved in 2013, requires the electronic submission of trader identification and market participant data.


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