Displaying results 131 - 140 of 200
CFTC Charges Monex Deposit Company, its Affiliates, and their Principals in Multi-Million Dollar Fraudulent Precious Metals Scheme
… as a Commissioner. I came to the Commission committed to investor protection. And I leave with that commitment … fraud, including the Precious Metals Fraud Advisory , which alerts customers to precious metals fraud and lists simple …
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CFTC Charges Multiple Individuals and Companies with Operating a Fraudulent Scheme Involving Binary Options and a Virtual Currency Known as ATM Coin
… program to generate manipulated data to cheat hundreds of investors out of their hard-earned savings,” stated U.S. … Advisory and “RED” List The CFTC has issued a Consumer Alert to warn about fraudulent schemes involving binary options and their trading platforms. The Alert warns customers that the perpetrators of these …
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CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme
… violations of securities law involving over 700 Ontarian investors and over $1.4 million Canadian dollars. The CFTC … including the Binary Options and Fraud Advisory , which alerts customers to this type of fraud and list simple ways …
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2023-28532
…     \40\ Funding by investors for a mitigation project or activity  could begin as early as the planning stage. Early investors may  enter into agreements with a project … In June  2023, the CFTC's Whistleblower Office issued an alert notifying the  public on how to identify and report …
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2012-5157
… custodial accounts and investment companies that enable investors to make wire transfers to other parties or that … on a deferred basis, if they do not ``advance'' funds to investors and clients.\43\ … Alerts, notifications, or other warnings received from … institution or creditor detects a fraud or active duty alert;\103\ (2) implementing any requirements for furnishers …
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Testimony, Senate Committee on Appropriations, Subcommittee on Financial Services and General Government
… analytical tools, such as market compliance detection and alert software, together with new staff competencies and … of reliable data about the size or effect of influential investor groups and potential harm posed by a commodity … • Collect and report data from swaps dealers and index investors. Release data on commodity index investment on a …
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2013-30975
… system for detecting breaches of risk tolerance limits and alerting supervisors and senior management, as appropriate; … that undue influence of securities issuers, institutional investors, and other outside parties on analysts is … that undue influence of securities issuers, institutional investors, and other outside parties on analysts is …
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CFTC Issues Customer Advisory on Digital Tokens
… Issues Customer Advisory on Digital Tokens New Guidance Alerts Customers to Use Caution and Research before … Approved” Virtual Currency IRAs is designed to encourage investors to be cautious of sales pitches touting “IRS …
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Keynote Address by Commissioner Sharon Y. Bowen before ISDA North America Conference
… And I believe that’s how the vast majority of retail investors trade across most markets. However, the ability to … cause undue danger to the broader financial system, other investors, or consumers. While algorithmic trading may be … At some firms, the risk controls might currently include alerts that trigger notice to accountable staff when an …
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CFTC Charges California and Colorado Residents in Ongoing Multimillion-Dollar Ponzi Scheme
… solicitations and phony excuses for their failure to return investor funds. In addition to the fraud violations charged, … Foreign Currency Trading (Forex) Fraud Advisory , which alert customers these types of fraud and list simple ways to …
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