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CFTC Orders Georgia Resident Michael E. Simmons and His Company Global Consortiums, LLC to Pay Restitution and a Civil Monetary Penalty Totaling More than $589,000 for Engaging in Foreign Exchange Commodity Pool Fraud , 7249-15 |
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CFTC’s Division of Market Oversight Issues Additional Time-Limited No-Action Relief from Electronic Reporting Requirements in the OCR Final Rule , 7248-15 |
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CFTC Signs Memorandum of Understanding with the Korean Financial Services Commission and the Financial Supervisory Service to Enhance Supervision of Cross-Border Clearing Organizations , 7247-15 |
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Federal Court in Illinois Orders Futures International LLC and its Chief Operating Officer, Amedeo Cerrone, to Pay $500,000 Penalty for Recordkeeping Violations, False Statements, Unauthorized Trading, and Supervision Failures , 7246-15 |
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CFTC Charges New York Corporations Safety Capital Management, Inc. & GNS Capital, Inc., both d/b/a FOREXNPOWER, & New York City Residents John Won, Sungmi Kang & Tae Hung Kang with Fraudulently Soliciting Over $1.5 Million in a Forex Fraud Scheme , 7245-15 |
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CFTC Issues Order Adding the Interest Rate and Foreign Exchange Asset Classes to the Asset Classes ICE Trade Vault, LLC Intends to Serve as a Provisionally Registered Swap Data Repository , 7244-15 |
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CFTC Orders Russian Resident Yakov Shlyapochnik and His Connecticut-Based Company, Nord Capital Advisors LLC, to Pay a $280,000 Penalty for Failing to Disclose Company’s Principal in Registration Filings and for Company’s Fraudulent Solicitation , 7243-15 |
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CFTC Grants Nodal Clear, LLC Registration as a Derivatives Clearing Organization , 7242-15 |
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CFTC Orders Cargill de México SA De CV to Pay $500,000 for Unlawfully Executing Wash Sales on the CBOT and KCBT , 7241-15 |
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CFTC Settles with TeraExchange LLC for Failing to Enforce Prohibitions on Wash Trading and Prearranged Trading in Bitcoin Swap , 7240-15 |
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CFTC Approves Supplement to Proposed Rulemaking to Modify the Aggregation Provisions of Its Position Limit Rules , 7239-15 |
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CFTC Seeking Public Comment on a Petition by Japan Securities Clearing Corporation for Exemption from DCO Registration , 7238-15 |
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CFTC Staff Issues Interpretative Guidance Regarding the Use of a “Firm or Forced Trades” Process by Derivatives Clearing Organizations , 7237-15 |
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CFTC Staff Issues Interpretation Regarding Consistency between CFTC Regulations Applicable to Derivatives Clearing Organizations and the Principles for Financial Market Infrastructures , 7236-15 |
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CFTC Orders Pennsylvania Resident Robert M. McMahon to Pay $171,800 Civil Monetary Penalty and Imposes Permanent Trading and Registration Bans for Engaging in Deceptive Trade Allocation Scheme , 7235-15 |
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CFTC Charges Florida Company Mintco LLC and Florida Residents Stuart Rubin and Richard Q. Zimmerman with Engaging in Illegal, Off-Exchange Precious Metals Transactions and Defrauding Customers , 7234-15 |
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CFTC Orders Australia and New Zealand Banking Group Ltd. to Pay a $150,000 Penalty for Inaccurate Large Trader Reports for Physical Commodity Swap Positions , 7233-15 |
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CFTC Orders Indiana Resident Terry Lee Phillips and his Two Companies to Pay Restitution and a Civil Monetary Penalty Totaling More than $234,000 for Fraud and Misappropriation , 7232-15 |
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CFTC Orders Bitcoin Options Trading Platform Operator and its CEO to Cease Illegally Offering Bitcoin Options and to Cease Operating a Facility for Trading or Processing of Swaps without Registering , 7231-15 |
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CFTC Announces Proposal to Amend the Definition of “Material Terms” for Purposes of Swap Portfolio Reconciliation , 7230-15 |
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CFTC Agricultural Advisory Committee to Meet on September 22, 2015 , 7229-15 |
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CFTC Charges California Resident Hannes Tulving, Jr., through his company, The Tulving Company, Inc., with Misappropriation and Fraudulent Solicitation in a $17.8 Million Precious Metals Scheme , 7228-15 |
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CFTC Chairman Massad Announces Eric J. Pan as Director of the Office of International Affairs , 7227-15 |
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CFTC Issues Order of Temporary Registration as a Swap Execution Facility to LedgerX LLC , 7226-15 |
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CFTC Approves Final Regulation Requiring All Registered Introducing Brokers and Commodity Pool Operators, and Certain Registered Commodity Trading Advisors to Be Members of a Registered Futures Association , 7225-15 |
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CFTC Publishes List of Foreign Entities that Illegally Solicit U.S. Residents to Trade Foreign Currency and Binary Options , 7224-15 |
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Commodity Pool Operator Sentenced to 17 Years’ Incarceration for Fraud , 7223-15 |
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CFTC Orders Forex Capital Markets, LLC to Pay More Than $843,000 for Supervision and Record-Production Violations and for Violating a Previous Commission Order , 7222-15 |
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CFTC Charges Tennessee and Kentucky Residents Rodney Scott Phelps and Jason T. Castenir and Their Company, Maverick Asset Management, LLC, with Commodity Pool Fraud and Other Violations , 7221-15 |
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Federal Court in North Carolina Enters Judgment against Ron Earl McCullough and David Christopher Mayhew in Foreign Currency Ponzi Scheme , 7220-15 |
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CFTC Approves National Futures Association Rules Enhancing Protections for Retail Forex Customers , 7219-15 |
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CFTC Issues Orders of Foreign Board of Trade Registration to Permit Direct Access for ICE Futures Canada, Inc. and Montréal Exchange Inc. , 7218-15 |
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Federal Court in Illinois Orders Former Sentinel Management Group, Inc. Senior Vice President Charles K. Mosley to Pay More than $2 Million for Misusing Customer Funds , 7217-15 |
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CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 , 7216-15 |
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CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps , 7215-15 |
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CFTC Issues Order of Exemption from Registration as a Derivatives Clearing Organization to ASX Clear (Futures) Pty Limited , 7214-15 |
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CFTC Seeking Public Comment on a Petition by Korea Exchange, Inc. for Exemption from DCO Registration , 7213-15 |
