On November 6, 2019, the Fraud Section of the Department of Justice with the Office of the U.S. Attorney for the Southern District of Texas, and the CFTC, announced settlements of their spoofing and market manipulation investigations of Tower Research…
Archives for CFTC
Latest DOJ Spoofing Settlement
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WCIRA News Clips: Bank Capital Plans and Stress Test Results Due April 5, 2019, CFTC Foreign Corrupt Practices Advisory on Self-Reporting/Cooperation
As government authorities around the world create a constantly evolving regulatory environment, conduct overlapping investigations, and bring parallel proceedings, companies are facing perhaps the most challenging regulatory and criminal enforcement environment. Our goal is to serve as a leading-edge resource…
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Is the Trump Administration Charting a New Course Away from the Duplicative Fines of the Financial Crisis?
By Neil Bloomfield and Kristen Kenley Double jeopardy prevents criminal defendants from being convicted of the same crime twice. Res judicata prevents civil litigants from facing repeated claims by an overly aggressive plaintiff. Unfortunately, in the years after the financial crisis financial institutions were essentially unprotected from receiving multi-million dollar demands by multiple regulators for the … Continue reading →
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O’Keefe to Present at 2018 Financial Markets Association Conference
Charlotte Litigation Member Ed O’Keefe will be presenting at the 2018 Financial Markets Association Conference on April 18. His presentation will discuss key legislative and regulatory initiatives affecting financial services companies, the rulemaking agenda for the SEC and the CFTC, and regulatory burden relief initiatives undertaken by the banking agencies to date. For additional information … Continue reading →
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As Agency Enforcement Efforts Mount, CFTC Prohibits Private Lawsuits Against RTOs/ISOs for Market Manipulation
Incidents of alleged fraud and market manipulation in the energy markets increasingly have received the attention of federal agency enforcement efforts, including the Federal Energy Regulatory Commission (FERC) and the Commodity Futures Trading Commission (CFTC). Our recent post highlights FERC’s growing efforts to combat market manipulation. And on November 21, 2016, the CFTC released its … Continue reading →
category: CFTC, Demand Response, Electricity, Electricity Markets, Energy Litigation, FERC, FERC v. EPSA, Grid Reliability, ISO, Legislative Updates, Market Manipulation, RTO
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EIB Energy Highlights: Nat Gas Outpowers Coal, NC Renewables, CPP En Banc, Fed Energy Bill Awaits Conference & More
Our goal is to serve as a leading-edge resource for companies navigating the rapidly evolving landscapes of the domestic and global energy markets. Moore & Van Allen’s EIB Energy Highlights is a complement to our Energy Interdependency Blog’s in-depth individual treatment of critical issues emerging in energy policy, regulation, and related litigation. EIB Energy Highlights … Continue reading →
category: AEO2016, CFTC, Clean Power Plan, Coal, Crude Exports, Crude Exports, Cybersecurity, EIB Energy Highlights, Electricity, Energy Exports, Energy Litigation, Energy Policy, Energy Policy Modernization Act, Energy Reports, Federal Power Act, FERC, Grid Security, H.R. 702, H.R. 702, H.R. 8, House Energy and Commerce Committee, Legislative Updates, Liquefied Natural Gas (LNG), Market Manipulation, Natural Gas, North Carolina, OPENS Act, OPENS Act, S. 2011, S. 2012, U.S. House, U.S. Senate, U.S. Supreme Court
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EIB Energy Highlights: Nat Gas Outpowers Coal, NC Renewables, CPP En Banc, Fed Energy Bill Awaits Conference & More
Our goal is to serve as a leading-edge resource for companies navigating the rapidly evolving landscapes of the domestic and global energy markets. Moore & Van Allen’s EIB Energy Highlights is a complement to our Energy Interdependency Blog’s in-depth individual treatment of critical issues emerging in energy policy, regulation, and related litigation. EIB Energy Highlights … Continue reading →
category: AEO2016, Annual Energy Outlook, CFTC, Clean Power Plan, Coal, Crude Exports, Cybersecurity, EIB Energy Highlights, Electricity, Energy Exports, Energy Litigation, Energy Policy, Energy Policy Modernization Act, Energy Reports, Federal Power Act, FERC, Grid Security, H.R. 702, H.R. 8, House Energy and Commerce Committee, Legislative Updates, Liquefied Natural Gas (LNG), Market Manipulation, Natural Gas, North Carolina, OPENS Act, S. 2011, S. 2012, Solar, U.S. House, U.S. Senate, U.S. Supreme Court, Wind
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FERC – CFTC Interagency Surveillance and Data Analytics Working Group
The Commodity Futures Trading Commission (“CFTC”) and Federal Energy Regulatory Commission (“FERC”) recently announced the formation of an interagency Surveillance and Data Analytics Working Group as one of the next steps to further coordination of the agencies’ energy market surveillance and enforcement efforts as required by the Dodd-Frank Act. The working group will coordinate information … Continue reading »
category: CFTC, Dodd-Frank, Energy Policy, Energy Trading, FERC, Government Investigations, Market Manipulation, Market Oversight
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Will Congressional Pressure on the CFTC to Share Information With FERC Bear Fruit?
The Federal Energy Regulatory Commission (“FERC”) has identified ferreting out energy market manipulation as a priority in its enforcement efforts. On January 2, 2014, FERC and the U.S. Commodity Futures Trading Commission (“CFTC”) signed two Memoranda of Understanding (“MOUs”) that address the agencies’ jurisdictional overlap and sharing of information related to the agencies’ market surveillance … Continue reading »
category: CFTC, Dodd-Frank, Energy Policy, Energy Trading, FERC, Government Investigations, Market Manipulation, U.S. Senate
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