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Archives for CFTC

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

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

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

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

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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

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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 »

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 »

The Gift That Keeps On Giving: CFTC’s Misaligned Definition of Forward Contracts Gives Rise to Another Potential Burden on LDCs Under Dodd-Frank Position Limit Rules

In our recent post, “CFTC Forward vs. Trade Option: LDCs Still Struggle as Trade Option Reporting Deadline Looms,” we discussed the unintended impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) on energy industry participants, including natural gas local distribution companies (“LDCs”) that continue to struggle with Commodity Futures Trading Commission (“CFTC”) … Continue reading »

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CFTC Forward vs. Trade Option: LDCs Still Struggle as Trade Option Reporting Deadline Looms

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) added provisions to the Commodity Exchange Act (“CEA”) regarding the regulatory oversight of swaps transactions that have imposed unintended and burdensome consequences on energy industry participants, including natural gas local distribution companies (“LDCs”).  Although the regulations adopted by the Commodity Futures Trading Commission (“CFTC”) have … Continue reading »

The CFTC and FERC Began the New Year with Steps toward Enforcement Coordination via MOUs on Jurisdiction and Information Sharing

Several months ago we discussed the lack of coordination between the Federal Energy Regulatory Commission (“FERC”) and the U.S. Commodity Futures Trading Commission (“CFTC”) regarding energy market enforcement activities.  See our previous post: Barriers to Cooperation between the CFTC and FERC Hinder Investigations into Energy Market Manipulation – A Legislative Fix May be on the Horizon.  … Continue reading »

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