CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against J.P. Morgan Securities LLC for failing to diligently supervise its officersâ, employeesâ,...
View ArticleCFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against Citigroup Global Markets Inc. for spoofing â bidding or offering with the intent to...
View ArticleEnforcement Director Aitan Goelman to Leave CFTC
U.S. Commodity Futures Trading Commission (CFTC) Chairman Timothy Massad today announced that Division of Enforcement Director Aitan Goelman will leave the agency on February 3, 2017.
View ArticleCFTCâs Enforcement Division Issues New Advisories on Cooperation
The U.S. Commodity Futures Trading Commissionâs (CFTC) Division of Enforcement today issued two new Enforcement Advisories outlining the factors the Enforcement Division will consider in evaluating...
View ArticleCFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against E*TRADE Securities LLC, an Introducing Broker, and E*TRADE Clearing LLC, a Futures Commission...
View ArticleCFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton...
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and settling charges against CNCGC Hong Kong Ltd., an investment and trading company headquartered in Hong Kong, for failing...
View ArticleCFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along...
The U.S. Commodity Futures Trading Commission (CFTC) announced the filing of a federal enforcement action in the U.S. District Court for the Middle District of Florida against Anthony J. Klatch II,...
View ArticleFederal Court in Florida Orders Joseph Charles DiCrisci to Pay More than $2.9...
The U.S. Commodity Futures Trading Commission (CFTC) announced that Judge William P. Dimitrouleas of the U.S. District Court for the Southern District of Florida entered an Order of Final Judgment by...
View ArticleCFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for...
The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against The Royal Bank of Scotland plc (RBS) for attempted manipulation of the ISDAFIX benchmark...
View ArticleCFTC Announces Daniel J. Davis as General Counsel
U.S. Commodity Futures Trading Commission Acting Chairman J. Christopher Giancarlo today announced that Daniel J. Davis has been named the agencyâs General Counsel.
View ArticleCFTCâs Division of Market Oversight Issues Conditional Extension of...
Washington, DC â The U.S. Commodity Futures Trading Commissionâs (CFTC) Division of Market Oversight (DMO) today issued a letter providing a conditional extension of the relief provided in CFTC...
View ArticleCFTC Extends Comment Period on Proposed Capital Requirements of Swap Dealers...
The U.S. Commodity Futures Trading Commission (CFTC) announced today that it is extending the comment period on its proposed capital requirements applicable to swap dealers and major swap participants...
View ArticleCFTC Staff Provides Relief Associated with Swap Trade Confirmations
The U.S. Commodity Futures Trading Commission's (CFTC) Division of Market Oversight (DMO) today issued a no-action letter extending relief associated with swap trade confirmation requirements.
View ArticleCFTCâs Market Risk Advisory Committee to Meet on April 25, 2017
The U.S. Commodity Futures Trading Commissionâs (Commission) Market Risk Advisory Committee (MRAC) will hold a public meeting on April 25, 2017 at the CFTC's Washington, DC, headquarters.
View ArticleCFTC Acting Chairman Giancarlo Appoints James McDonald as Enforcement Director
U.S. Commodity Futures Trading Commission (CFTC) Acting Chairman J. Christopher Giancarlo today announced the appointment of James McDonald to be the Director of the agencyâs Enforcement Division.
View ArticleCFTC Acting Chairman Giancarlo Announced Andrew B. Busch as the...
U.S. Commodity Futures Trading Commission (Commission) Acting Chairman J. Christopher Giancarlo today announced that Andrew B. Busch has been named the Commissionâs first Chief Market Intelligence...
View ArticleCFTCâs Market Risk Advisory Committee Announces Agenda for April 25...
The U.S. Commodity Futures Trading Commissionâs Market Risk Advisory Committee (MRAC) announces agenda for its April 25, 2017 public meeting at the CFTC's Washington, DC, headquarters.
View ArticleCFTC Announces N. Charles Thornton III as Director of the Office of...
U.S. Commodity Futures Trading Commission Acting Chairman J. Christopher Giancarlo today announced that N. Charles âCharlieâ Thornton III has been named the Commissionâs Director of the Office of...
View ArticleCFTC Seeks Public Comment on Request from CME for Order Permitting...
The U.S. Commodity Futures Trading Commission (CFTC) is requesting public comment on a petition submitted by Chicago Mercantile Exchange, Inc. (CME) for an order pursuant to Section 4d of the Commodity...
View ArticleCFTCâs Division of Swap Dealer and Intermediary Oversight Issues...
The U.S. Commodity Futures Trading Commissionâs (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued an extension of the time-limited no-action relief provided in CFTC Staff...
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