Sullivan & Cromwell LLP Logo Sullivan & Cromwell LLP Logo
  • Lawyers
  • Practices
  • Insights
  • About
  • Careers
  • Alumni
  • Twitter icon
  • LinkedIn icon
  •  icon
  • Podcasts icon
© 2026 Sullivan & Cromwell LLP
    • Home
    • Lawyers
    • Practices
    • Insights
    • About
    • Careers
    • Alumni
    Home /  Insights /  Memos and Newsletters /  Memo
    S&C Memos

    CFTC Requests Comment Regarding Impact of Affiliations on Regulated Entities

    Release Solicits Feedback on the Effects of Affiliation Amongst DCOs, DCMs, SEFs, CFTC-Regulated Intermediaries and Trading Entities.

    July 13, 2023 | min read |
    • Related Practices

    On June 27, 2023, the staff of the CFTC issued a request for comment on potential issues that may arise when CFTC-regulated entities, including derivatives clearing organizations, designated contract markets and swap execution facilities, are affiliated with other market participants they are tasked with supervising, including regulated market intermediaries such as futures commission merchants or trading entities.  Noting that affiliations between such entities “raise[] questions” regarding, among other things, the carrying out of supervisory responsibilities, potential anti-competitive effects and compliance with financial resources requirements, the staff hopes to better understand these issues and seeks input regarding “possible mitigating measures.” Comments in response to the request are due by August 28, 2023. 

    Read More
    Stay Updated

    Subscribe to stay current on S&C Insights.

    Related Practices Related Practices

    • Broker-Dealer
    • Commodities, Futures & Derivatives
    • Digital Assets
    • Fintech
    Sullivan & Cromwell LLP Logo Sullivan & Cromwell LLP Logo
    • Twitter icon
    • LinkedIn icon
    • RSS Feed icon
    • Podcasts icon
    • Contact Us
    • Cookies
    • Privacy & Disclaimers
    • Attorney Advertising
    © 2026 Sullivan & Cromwell LLP