Displaying results 521 - 530 of 1186
Commissioner Pham to Deliver a Keynote at the Eurofi Financial Forum 2022 - Prague
… regulators on the curve?  with the Bank of International Settlements, European Banking Authority, Japan Financial …
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CFTC Charges Donald R. Wilson and his Company, DRW Investments, LLC, with Price Manipulation
... November 6, 2013 CFTC Charges Donald R. Wilson and his Company, DRW Investments, LLC, with Price Manipulation Defendants allegedly manipulated the IDEX USD Three-…
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CFTC Revokes the Registration of Hedge Fund Operator Samuel Israel III, Former Managing Member of Bayou Management LLC
... Release: 5224-06 For Release: August 31, 2006 CFTC Revokes the Registration of Hedge Fund Operator Samuel Israel III, Former Managing Member of Bayou Management LLC Washington, D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that on August 22, 2006, it filed a Notice of Intent to Revoke Registration (Notice) against Samuel Israel III. The CFTC…
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"A Conscience Isn't Nonsense"
… granddaddy of CFTC penalties. Combined with other regulator settlements, UBS will pay $1.5 billion. Even for a …
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2024-15093
… Financial Market Infrastructures, Bank for  International Settlements and International Organization of  Securities …
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Federal Appeals Court Affirms CFTC’s Finding of Manipulation by Anthony J. DiPlacido and Modifies Civil Monetary Penalty
... Release: 5740-09 For Release: October 21, 2009 Federal Appeals Court Affirms CFTC’s Finding of Manipulation by Anthony J. DiPlacido and Modifies Civil Monetary Penalty CFTC previously found that DiPlacido manipulated settlement prices for electricity futures contracts on the New York Mercantile Exchange. Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today…
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U.S. Regulators Encourage Comments on the CPSS-IOSCO Consultative Report on the Principles for Financial Market Infrastructures
... March 10, 2011 Joint Release: Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Securities and Exchange Commission U.S.…
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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
... June 27, 2013 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 Washington, DC – The Commodity Futures Trading Commission’s (“Commission”) Division of Market Oversight (“Division”) today issued a no-action letter providing…
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CFTC Charges Swap Dealer for Failure to Supervise Valuation Activities on Two Derivatives Trading Desks
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order filing and settling charges against Natixis, a global bank and swap dealer, for failure to diligently supervise traders on the bank’s New York-based Interest Rate Derivatives Desk (IRD Desk) and its Equity Derivatives Flow and Solution Trading Desk (FAST Desk). The traders on the IRD Desk and FAST Desk separately…
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2013-30979
... Federal Register, Volume 78 Issue 249 (Friday, December 27, 2013)[Federal Register Volume 78, Number 249 (Friday, December 27, 2013)] [Notices] [Pages 78839-78852] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2013-30979…
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