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Date de publication: 26 juin 2012
Auteur: Y B
Noter cette article :

La Commodity Futures Trading Commission a publié un communiqué de presse dans lequel elle annonce qu'elle approuve l'avis de proposition de réglementation interdisant l'agrégation d'ordres pour atteindre une taille minimum.

Introduction :

The Commodity Futures Trading Commission (CFTC) has approved for publication in the Federal Register a Notice of Proposed Rulemaking that re-proposes adding certain provisions to Part 43 of the Commission's Regulations pertaining to block trades in swap contracts. The provisions contained in the proposed rulemaking would :

  • Prohibit the aggregation of orders for different trading accounts in order to satisfy the minimum block size or cap size requirements, except for orders aggregated by certain commodity trading advisors, investment advisers and foreign persons, if such qualifying persons have more than $25,000,000 in total assets under management ;
  • Provide that parties to a block trade must individually qualify as eligible contract participants, except where a designated contract market allows certain commodity trading advisors, investment advisers and foreign persons to transact block trades for customers who are not eligible contract participants, if such qualifying commodity trading advisor, investment adviser or foreign person has more than $25,000,000 in total assets under management; and
  • Require that persons transacting block trades on behalf of customers must receive prior written instructions or consent from the customer.

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