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Futures Glossary
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Statement of Commissioner Kristin N. Johnson Regarding CFTC Orders Against HSBC for Fraudulent and Manipulative Swaps Trading and Spoofing, and for Recordkeeping and Supervision Failures
...Today, the Commodity Futures Trading Commission (CFTC or Commission) issued two orders settling charges against, respectively, (i) HSBC Bank USA, N.A. (HSBC) for fraudulent and manipulative swaps trading and spoofing; and (ii) HSBC, HSBC Securities (USA) Inc., and HSBC Bank plc (collectively, HSBC Affiliates) for failing to maintain, preserve, and produce records in compliance with CFTC…
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Statement of Commissioner Kristin N. Johnson Calling for the CFTC to Initiate A Rulemaking Process for CFTC-Registered DCOs Engaged in Crypto or Digital Asset Clearing Activities
… Financial Market Infrastructures , Bank for International Settlements, Apr. 16, 2012, available at … financial market infrastructures , Bank for International Settlements, Jun. 29, 2016, available at …
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e9-25238
... FR Doc E9-25238[Federal Register: October 26, 2009 (Volume 74, Number 205)] [Notices] [Page 54966-54969] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr26oc09-37…
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e9-25238
... FR Doc E9-25238[Federal Register: October 26, 2009 (Volume 74, Number 205)] [Notices] [Page 54966-54969] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr26oc09-37…
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2023-18694
...[Federal Register Volume 88, Number 171 (Wednesday, September 6, 2023)] [Proposed Rules] [Pages 61432-61461] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2023-18694] [[Page 61431]] Vol. 88 Wednesday, No. 171 September 6, 2023 Part IV  Commodity Futures Trading Commission…
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Dissenting Statement of Commissioner Caroline D. Pham on Examination by Enforcement
...I. I respectfully dissent from the order and settlement in the administrative proceeding In re Goldman Sachs & Co. LLC, because I believe that this enforcement action is fundamentally unfair, unjust, and does not best serve the public interest.  Based on my review of the record, I believe that this enforcement action is wrong—we are not doing the right thing here on vendor…
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2012-16983
… paper is available on the Bank for International Settlements (``BIS'') Web site (www.bis.org), the IOSCO Web … paper is available on the Bank for International Settlements (``BIS'') Web site (www.bis.org), the IOSCO Web …
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Contracts & Products
...Agricultural trade options are tools for managing agricultural price risk exposure. They are referred to as “trade options” because, unlike exchange-traded options, which are bought and sold on a designated contract market, agricultural trade options are bought and sold off-exchange directly between commercial market participants for business-related purposes. Apart from their “over-the-…
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Federal Court Orders South African Company to Pay Over $1.7 Billion in Restitution for Forex Fraud
...Washington, D.C. — The Commodity Futures Trading Commission today announced Judge David A. Ezra of the U.S. District Court for the Western District of Texas entered a consent order against Mirror Trading International Proprietary Limited (MTI) on September 6, finding it liable for fraud in connection with retail foreign currency (forex) transactions, fraud by a commodity pool operator (CPO),…
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