Market regulation · 24/11/2020

CFTC Grants UBS AG Exemption from Foreign Futures and Options Regulations

The Commodity Futures Trading Commission (CFTC) is granting UBS AG an exemption from certain regulations, allowing the firm to operate under comparable requirements set by the Swiss Financial Market Supervisory Authority (FINMA). This exemption is granted under CFTC Sec. 30.10(a) and does not apply to swap transactions as defined in the Commodity Exchange Act.