Displaying results 521 - 530 of 1195
CFTC Announces Clearinghouse Liquidity Stress Test Results
... October 16, 2017 CFTC Announces Clearinghouse Liquidity Stress Test Results Washington, DC — Staff of the U.S. Commodity Futures Trading Commission (CFTC) today issued a report detailing the results of an evaluation of settlement liquidity at clearinghouses. The purpose of the analysis was to assess the impact of a hypothetical…
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CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions
... March 16, 2016 CFTC Orders Equinox Fund Management, LLC to Pay over $5.65 Million for Material Misstatements and Omissions Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Equinox Fund Management, LLC (Equinox). The Order finds that Equinox, a CFTC-registered Commodity Pool Operator (CPO), made…
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Commissioner Johnson to Deliver Keynote Address at the 2022 Federal Reserve Bank of Chicago Financial Markets Group Fall Conference
... WHAT: Commissioner Kristin N. Johnson will deliver a keynote address at the 2022 Federal Reserve Bank of Chicago Financial Markets Group Fall Conference on Innovation in Trade Execution, Governance, and Post-Trade Clearing and Settlement of Exchange Traded and Centrally Cleared Products. WHEN: Wednesday, November 16, 2022…
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2013-30976
... Federal Register, Volume 78 Issue 249 (Friday, December 27, 2013)[Federal Register Volume 78, Number 249 (Friday, December 27, 2013)] [Notices] [Pages 78910-78923] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2013-30976…
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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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2020-28300
… requirements); (ii) pre-relief transfers, withdrawals or settlements at the request of public customers, unless the … confirmed this by requiring that each DCO complete money settlements not less frequently than once each business … over the effectiveness of such arrangements, or may obtain settlements that would benefit their individual claims …
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Opening Statement of Commissioner Kristin N. Johnson Regarding Open Commission Meeting on June 7
...Good morning. Thank you, Chairman, and welcome to everyone joining us in person and virtually. Today we will consider a final rule on Governance Requirements for Derivatives Clearing Organizations (DCOs), a proposed rule on DCOs Recovery and Orderly Wind-down Plans and a proposed rule on Amendments to Part 17 Large Trader Reporting Requirements, and a proposed order/request for comments on…
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Concurring Statement of Commissioner Dawn D. Stump Regarding Enforcement Action Against Coinbase, Inc.
...I concur in the Commission’s findings that Coinbase, Inc., the owner and operator of an online digital asset exchange,[1] violated anti-manipulation provisions of the Commodity Exchange Act (CEA) and the CFTC’s rules based on:  1) reporting false, misleading, or inaccurate transaction information; and 2) secondary, principal-agent liability for wash sales by a former “Employee A.”  I…
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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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CFTC Charges Former Trader for Engaging in a Fraudulent Scheme to Mismark U.S. Dollar Interest Rate Derivatives
...Washington, D.C. — The Commodity Futures Trading Commission today issued an order filing and settling charges against Blaise Brochard of New York, New York, a former trader at a global bank, for engaging in a scheme to mismark positions on the bank’s U.S. dollar interest rate derivatives desk (IRD Desk). The order requires Brochard to pay a $250,000 penalty, cease and desist from violating…
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