WebSep 11, 2024 · However, this relief does not extend to CFTC Regulation 23.431(a), which requires a SD to provide material information concerning the risks and characteristics of a swap to its counterparty at a ... WebThe Code of Federal Regulations (CFR) is the official legal print publication containing the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government. The Electronic Code of Federal Regulations (eCFR) is a continuously updated online version of the CFR. It is not an …
CFTC Orders Goldman Sachs To Pay $15,000,000 For Violations Of …
WebDec 22, 2010 · For the reasons presented above, the Commodity Futures Trading Commission proposes to amend part 23 (as proposed to be added by FR Doc 2010-29024, published on November 23, 2010, 75 FR 71379) and part 155 of Title 17 of the Code of Federal Regulations as follows: Start Part PART 23—SWAP DEALERS AND MAJOR … WebCommodity Futures Trading Commission §23.431 (c) Confidential treatment of counterparty information. (1) It shall be unlawful for any swap dealer or major swap participant to: (i) Disclose to any other person any material confidential information pro-vided by or on behalf of a counterparty to the swap dealer or major swap par-ticipant; or cliphire
Mid-Market Mark for Equity Total Return and Price Return …
WebApr 11, 2024 · The Commodity Futures Trading Commission (CFTC) on Monday issued an order simultaneously filing and settling charges against Goldman Sachs & Co. LLC for violations of the CFTC’s Business Conduct Standards applicable to swap dealers. Specifically, the CFTC found that Goldman failed to disclose dozens of pre-trade-mid … WebChapter I - COMMODITY FUTURES TRADING COMMISSION Part 1 - GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Subjgrp - Recordkeeping … WebNAB is a provisionally registered “swap dealer” with under the CFTC regulations, and the information below includes disclosure which NAB is required to disclose to you pursuant to CFTC regulation 23.431 prior to entering into any pre-trade “Transaction” (as defined in the “General Disclosure Statement” of the ISDA DF Disclosure). clip hersteller