Ex-CFTC Boss Lukken: US Futures Market Needs More Competition
11 Septiembre 2009 - 9:35AM
Noticias Dow Jones
The former head of the Commodity Futures Trading Commission said
the U.S. should reevaluate the fundamental structure of its futures
markets to foster more competition among exchanges.
Walter Lukken, who led the CFTC as acting chairman until earlier
this year, said that while the current model has encouraged
innovation, it also produced a market where Chicago-based CME Group
Inc. (CME) controls 96% of U.S. futures trade.
"That market isn't competitive," said Lukken, who joined CME
rival NYSE Euronext (NYX) in July as senior vice president of
global market structure.
"We need a way to get the [futures market] model to be more
competitive, but we can't necessarily apply the same model as in
the securities industry due to differences in products," he
said.
Lukken's comments, on the sidelines of a derivatives industry
event in Interlaken, Switzerland, echo similar calls last week at a
Washington hearing focused on harmonizing U.S. securities and
futures regulation.
At issue is a practice known as fungibility, wherein investors
can put on a position at one exchange and take it off at
another.
Cash equities and options contracts are fungible, but futures
contracts are not - U.S. law lets futures exchanges operate their
own clearinghouses, thereby requiring traders to buy and sell
futures contracts on the same exchange.
Current CFTC Chairman Gary Gensler has refused to say where he
stands on the issue of fungibility in futures markets.
However, he is proposing a new market model for over-the-counter
derivatives, in which standardized swaps must be able to be cleared
at multiple clearinghouses.
Lukken acknowledged basic differences between cash securities
issued by corporations and futures contracts, designed by exchanges
to hedge risk.
"Being innovative and forward-thinking should be rewarded in the
[futures] sector," he said.
The fungibility issue arose during Lukken's 18-month tenure as
acting CFTC chairman when a Justice Department memo scrutinizing
CME's vertical integration of clearing became public in January
2008.
CME shares dropped as investors feared a forced spinoff of its
profitable clearing division, but the issue faded and the exchange
operator was allowed to proceed with its acquisition of the New
York Mercantile Exchange.
New competitors have also appeared since then: NYSE Euronext
launched its U.S. futures platform last fall, while the
consortium-backed ELX Futures debuted in July. Both are targeting
Treasury-linked derivatives, one of CME's core markets.
While Neal Wolkoff, CEO of ELX, has called for fungibility in
U.S. futures, Tom Callahan, NYSE Euronext's U.S. futures chief,
said it isn't the way to resolve the competition issue.
"You'd put the U.S. market at risk because the rest of the world
doesn't operate that way," Callahan said in a recent interview.
"And you could potentially really hurt liquidity by applying
something of that nature to a very healthy market."
Danger of 'Trade War' Seen In Tighter Regulation
Lukken also warned that U.S. regulators must tread cautiously as
they look to assert their authority overseas.
"There is tension, that if you go too far, you create a sort of
trade war," he said. "That's where things start to break down."
The CFTC last month again tweaked a three-year-old agreement
with the U.K. Financial Services Authority, giving the U.S. agency
greater power over certain London-based markets operated by
IntercontinentalExchange Inc. (ICE).
Through its ICE Futures Europe unit, the exchange offers
electronic trade in products linked to energy futures contracts
listed in the U.S.
The FSA has cooperated with the CFTC in its ongoing efforts to
close the so-called "London loophole," which critics say has
allowed U.S. traders to avoid position limits by trading look-alike
contracts on ICE Futures Europe.
On Thursday, Lukken suggested that there may be a limit to that
cooperation.
"We haven't reached that point yet, but that's something
regulators have to be concerned about," he said.
-By William Launder, Dow Jones Newswires; +49 69 29 725 515;
william.launder@dowjones.com; and Jacob Bunge, Dow Jones Newswires;
(312) 750 4117; jacob.bunge@dowjones.com
(Sarah N. Lynch contributed to this article.)