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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief from the Prohibition of Aggregation Under § 43.6(h)(6) for Large Notional Off-Facility Swaps , 6654-13 |
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CFTC Orders William J. Hionas and his Florida Firms, Pan American Metals of Miami and Pan American Metals of Miami Beach, to Pay Approximately $4.7 Million in Restitution and a Monetary Penalty for Fraudulent Off-Exchange Transactions in Precious Metals , 6653-13 |
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Federal Court in Illinois Orders Michael Peskin to Pay More Than $480,000 and Imposes Other Sanctions to Settle Charges that Peskin Violated A Permanent Trading Ban , 6652-13 |
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CFTC Announces that Mandatory Clearing of iTraxx CDS Indices for Category 2 Entities Begins Today , 6651-13 |
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CFTC’s Agricultural Advisory Committee to Meet July 25, 2013 , 6650-13 |
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CFTC Orders Panther Energy Trading LLC and its Principal Michael J. Coscia to Pay $2.8 Million and Bans Them from Trading for One Year, for Spoofing in Numerous Commodity Futures Contracts , 6649-13 |
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CFTC’s Division of Clearing and Risk Issues Extension of Time-Limited No-Action Relief from Required Clearing for Swaps Entered into by Certain Cooperatives , 6648-13 |
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CFTC Names Christopher Ehrman as Director of Whistleblower Office , 6647-13 |
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CFTC Seeks Public Comment on Request from CME Group to Issue Market Regulation Advisory Notice Regarding CME Rule 534 (“Wash Trades Prohibited”) , 6646-13 |
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CFTC Obtains Default Judgment and Permanent Injunction against California Resident Michael J. Leighton for Defrauding Commodity Pool Participants , 6645-13 |
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CFTC Charges Texas-based RFF GP, LLC, KGW Capital Management, LLC, and Kevin G. White with Commodity Pool Fraud , 6644-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Technical Correction to No-Action Letter Regarding Certain Risk Mitigation Requirements , 6643-13 |
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CFTC Staff Issues Four No-Action Letters Providing Relief in Connection with Issues Relating to Swaps Regulation , 6642-13 |
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CFTC Seeks to Revoke the Registrations of Joshua Wallace and his Company System Capital, LLC Based on Court’s Permanent Injunction Order Prohibiting Them from Committing Further Fraud and on Wallace’s Conviction for Criminal Commodities Fraud , 6641-13 |
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The European Commission and the CFTC reach a Common Path Forward on Derivatives , 6640-13 |
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CFTC’s Division of Market Oversight Issues Advisory Regarding the Obligation to Submit Accurate Form 204 Reports Showing Cash Positions in Wheat, Corn, Oats, Soybeans, Soybean Oil, and Soybean Meal , 6639-13 |
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CFTC to Hold Open Meeting to Consider Cross-Border Final Guidance; and Cross-Border Phase-In Exemptive Order , 6638-13 |
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Federal Court in New York Orders Defendant Laurence Dodge, Principal of Madison Dean, Inc., to Pay nearly $400,000 to Settle Forex Fraud Charges , 6635-13 |
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CFTC’s Division of Market Oversight Issues Time-Limited No-Action Relief Permitting Part 45 and Part 46 Reporting Counterparties to Mask Legal Entity Identifiers, Other Enumerated Identifiers and Other Identifying Terms, and Permitting Part 20... , 6634-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief from Portfolio Reconciliation Requirements , 6633-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Corrected No-Action Letter on Relief from Certain External Business Conduct Standards and Documentation Standards , 6632-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter Providing Relief for Swap Dealers in Connection with Foreign Exchange Intermediated Prime Brokerage Arrangements , 6631-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief from Certain Swap Trading Relationship Documentation Standards with Foreign Exchange Counterparties , 6630-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definitio , 6629-13 |
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CFTC’s Division of Market Oversight Issues Extension of Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants from the Reporting Requirements of Part 45 for CDS Clearing-Related Swaps , 6628-13 |
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CFTC’s Division of Market Oversight Issues Extension of Time-Limited No-Action Relief Concerning Bespoke or Complex Swaps , 6627-13 |
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CFTC Charges MF Global Inc., MF Global Holdings Ltd., Former CEO Jon S. Corzine, and Former Employee Edith O’Brien for MF Global’s Unlawful Misuse of Nearly One Billion Dollars of Customer Funds and Related Violations , 6626-13 |
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CFTC’s Division of Market Oversight Extends Time-Limited, No-Action Relief for Swap Dealers and Major Swap Participants From Compliance With Reporting Obligations , 6625-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief from Certain External Business Conduct Standards and Documentation Standards , 6624-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain Swap Dealers Concerning Annual Reports of Chief Compliance Officers , 6623-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Concerning Terms that May Be Excluded from Portfolio Reconciliation , 6622-13 |
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Federal Court in Colorado Orders Michael Gale to Pay More than $1.2 Million to Settle Fraud Charges in CFTC Enforcement Action , 6621-13 |
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Federal Court Orders Alpha Trade Group S.A. and its Employees and Agents to Pay Combined Restitution and Penalties of $5.779 Million for Defrauding Pool Participants , 6620-13 |
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Federal Court Orders Chicago Resident Christopher Varlesi to Pay over $1.3 Million to Settle Ponzi Scheme Fraud and Misappropriation Action , 6619-13 |
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CFTC Charges North Carolina Resident C. David Wright with Commodity Pool Fraud , 6618-13 |
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CFTC’s Division of Clearing and Risk Issues Extension of Time-Limited No-Action Relief from Required Clearing for Swaps Entered into by Certain Cooperatives , 6617-13 |
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Providing an Alternative to Fingerprinting to Establish Fitness of Associated Persons Residing Outside the United States , 6616-13 |
