Displaying results 851 - 860 of 880
CFTC Releases Enforcement Division’s Annual Results
... October 24, 2013 CFTC Releases Enforcement Division’s Annual Results Agency obtained a record $1.7 billion in monetary sanctions and filed 82 actions. Washington, DC - The Commodity Futures Trading Commission (CFTC) today announced that it filed 82 enforcement actions in fiscal year 2013 (FY 13), bringing the total over the past three fiscal years to 283, nearly double the…
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Keynote Address of Commissioner Kristin Johnson at UC Berkeley Law Crypto Regulation Virtual Conference
… Exchange Act or CFTC rules); unauthorized trading; misappropriation; churning; wrongful liquidation; and …
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Speech of Enforcement Director James M. McDonald Regarding Enforcement trends at the CFTC, NYU School of Law: Program on Corporate Compliance & Enforcement
...Speech of Enforcement Director James M. McDonald Regarding Enforcement trends at the CFTC, NYU School of Law:  Program on Corporate Compliance & Enforcement November 14, 2018 As Prepared for Delivery Introduction Thank you for that introduction.  I’m happy to be back here at NYU as part of the Program on Corporate Compliance & Enforcement (PCCE).  Over the…
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Testimony of Chairman Timothy G. Massad before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government
... Testimony of Chairman Timothy G. Massad before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government, Washington, DC May 5, 2015 Good morning, Chairman Boozman, Ranking Member Coons, and members of the Subcommittee. I am pleased to testify…
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Opening Statement of Commissioner Kristin N. Johnson Before the Market Risk Advisory Committee Meeting
… filed May 10, 2022) (charging defendants in $44 million misappropriation involving digital assets); CFTC v. Golden , …
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Testimony Before the U.S. House Committee on Agriculture
... Testimony before the U.S. House Committee on Agriculture CFTC Chairman Gary Gensler July 25, 2012 Good morning Chairman Lucas, Ranking Member Peterson and members of the Committee.  I thank you for inviting me to today’s hearing on oversight of the swaps and futures markets.  I…
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85 FR 40877
… crimes, such as embezzlement, theft, extortion, fraud, misappropriation, and bribery. Once an individual is … provisions of Section 8a(2), such as fraud or misappropriation, then it should seek registration with the …
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Keynote Address of Director of Enforcement James M. McDonald at the Practising Law Institute's White Collar Crime 2019 Program
… Release 7927-19, CFTC Charges CEO of Managed Fund with Misappropriation, Fraud, and Making False Statements to NFA, …
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2010-29022
… may apply. Use additional sheets, if necessary. [cir] Theft/misappropriation; [cir] Misrepresentation/omission … may apply. Use additional sheets, if necessary. [cir] Theft/misappropriation; [cir] Misrepresentation/omission …
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Address of CFTC Commissioner J. Christopher Giancarlo to the American Enterprise Institute
… or otherwise, it is protected from theft, breaches and misappropriation. 51 Cyber risk is undoubtedly the number …
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