Bridging the Week by Gary DeWaal: February 6 to 10 and February 13, 2017 (Retail FX Dealer to Close; Top Five IA Compliance Topics; Disaggregation; CPO Delegation)

Published Date: February 13, 2017

A renowned retail foreign exchange dealer agreed to shut its doors as a result of enforcement actions taken by the Commodity Futures Trading Commission and the National Futures Association, while the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations provided a top five list of issues it has seen during investment adviser inspections. Although some of OCIE’s identified topics are likely of interest only to investment advisers, most of its observations regarding compliance procedures are relevant to all SEC and CFTC registrants and supporting practitioners. As a result, the following matters are covered in this week’s edition of Bridging the Week:

Also, this week, in light of the apparent impending nomination of J. Christopher Giancarlo as the next Chairman of the Commodity Futures Trading Commission, I will commence sporadically re-publishing prior articles from Bridging the Week that give some insight into what may constitute his priorities for the Commission going forward, in a new segment Memory Lane. This week, the article re-published is from February 1, 2015, and entitled, "CFTC Commissioner Laments Flawed US Swaps Trading Model (includes My View)."

Because of the Presidents’ Day Holiday in the US on February 20, the next edition of Bridging the Week will be February 27.

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Gary DeWaal

Gary DeWaal is currently Special Counsel with Katten Muchin Rosenman LLP in its New York office focusing on financial services regulatory matters. He provides advisory services and assists with investigations and litigation.

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Gary DeWaal
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