Displaying results 621 - 630 of 1186
... “Twists and Turns in Tradium” Keynote Address of Commissioner Bart Chilton Before the Joint Annual Meeting of the Independent Connecticut Petroleum Association and Education Foundation, Oil Heat Institute, Inc. of Rhode Island, Mashantucket, CT September 13, 2012 Introduction: Two…
Created on:
...September 4, 2019   SEC and CFTC Charge Options Clearing Corp. with Failing to Establish and Maintain Adequate Risk Management Policies OCC to Pay Combined $20 Million Penalty Washington, DC – The Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission today announced that the Options Clearing Corporation (OCC) will undertake remedial efforts and…
Created on:
... Statement on Support of the Dodd-Frank Rulemaking of Chairman Gary Gensler Statements for the record on each rule: Clearinghouse legal and compliance matters I support the proposed rule on legal and compliance matters for clearinghouses, which would revise procedures for derivatives…
Created on:
...Dissenting Statement of Commissioner Dan M. Berkovitz In re Tower Research Capital LLC: Waiver of SEC “Bad Actor” Disqualifications November 7, 2019 I dissent from the Commission’s approval of the administrative settlement with Tower Research Capital LLC (“Tower”).  While I agree with the substantial remedial sanctions the CFTC is imposing on Tower, I do not support the…
Created on:
...I support the Commission’s consideration of the proposed derivatives clearing organization (DCO) governance measures that establish structural and procedural mechanisms designed to improve efforts to identify and mitigate material risks, strengthen DCO resilience, and foster the integrity of our markets. DCOs provide comprehensive settlement services and take on counterparty risk with the…
Created on:
... December 7, 2012 CFTC Orders Goldman, Sachs & Co., a Commission Registrant, to Pay $1.5 Million for Supervision Failures By exploiting Goldman’s internal…
Created on:
... June 19, 2015 Federal Court Orders a $500,000 Civil Penalty against Joseph F. Welsh III for Attempted Manipulation of Palladium and Platinum Futures Contracts …
Created on:
... June 27, 2013 CFTC Charges MF Global Inc., MF Global Holdings Ltd., Former CEO Jon S. Corzine, and Former Employee Edith O’Brien for MF Global’s Unlawful Misuse of Nearly One Billion Dollars of Customer Funds and Related Violations Settlement of charges against MF Global, subject to court approval, directs payment of all funds still owed to commodity customers and imposes a $…
Created on:
...Introduction Good morning and welcome to the first Market Risk Advisory Committee (MRAC) meeting of 2022.  It is an honor to sponsor this Committee.  The work of the MRAC and the other Commodity Futures Trading Commission (CFTC or Commission) Advisory Committees is critical to the development of the CFTC’s regulations and policies, industry best practice standards, and registrants…
Created on:
... Opening Statement of Commissioner Mark Wetjen at Commission Meeting on Releases Related to Forwards with EVO, Residual Interest and Rule 1.35 November 3, 2014 Good morning Chairman Massad and Commissioners Bowen and Giancarlo. I want to thank Chairman Massad for convening this meeting and…
Created on: