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Federal Court Finds Ohio Corporation Carnegie Trading Group, Ltd., Inc. and its President, John Glase, Liable for Acts of Employees in Fraudulent Sales Solicitation Case Brought by the CFTC
… restitution subject to offset by Carnegie and Glase. The settlements also require Hollenbaugh and Henshaw to pay …
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2023-07029
...[Federal Register Volume 88, Number 65 (Wednesday, April 5, 2023)] [Notices] [Pages 20144-20146] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2023-07029] ----------------------------------------------------------------------- COMMODITY FUTURES TRADING COMMISSION Privacy Act of 1974; System of Records AGENCY: Commodity…
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Statement of Commissioner Kristin N. Johnson Regarding the CFTC’s Notice of Proposed Rulemaking on Operational Resilience Program for FCMs, SDs, and MSPs
...Cyberattacks are an ever-increasing threat. The rising cost, frequency, and severity of cyber threats represent one of the most critical issues facing city, state, and federal government authorities, businesses in each sector of our economy, educational and philanthropic institutions, and significant energy and transportation infrastructure, and national security resources. In his remarks…
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Statement of Commissioner J. Christopher Giancarlo before the Market Risk Advisory Committee Meeting
… International Monetary Fund, 11 the Bank for International Settlements, 12 the Bank of England, 13 Federal Reserve … , Insurance Risk , Aug. 24, 2015. 9 See Bank for Int’l Settlements, 85th Annual Report 106 (2015); Ryan Tracy, … note 3, at 49–53; Rennison, supra note 3. 12 Bank for Int’l Settlements, supra note 9, at 36–40 (citing the increasing …
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Testimony Before the House of Representatives Committee on Financial Services, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
... Testimony of Chairman Gary Gensler Before the House of Representatives Committee on Financial Services, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises May 11, 2010 Good afternoon Chairman Kanjorski, Ranking Member Garrett and members of the Subcommittee. I…
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CFTC Enters into Non-Prosecution Agreements with Former Citigroup Global Markets Inc. Traders Jeremy Lao, Daniel Liao, and Shlomo Salant
… Failures). Relatedly, on March 30, 2017, the CFTC announced settlements with former Citigroup traders Stephen Gola and …
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Statement of Commissioner Mark Wetjen before the Global Markets Advisory Committee Open Meeting
... Statement of Commissioner Mark Wetjen before the Global Markets Advisory Committee Open Meeting October 9, 2014 Thank you everyone for being here today. We have a couple of interesting topics to discuss here today, both related to currency and derivatives under the CFTC’s jurisdiction. Let…
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Opening Statement of Commissioner Kristin N. Johnson Before the Market Risk Advisory Committee Meeting
...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…
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Statement of Commissioner Kristin N. Johnson in Support of Proposed Rulemaking to Strengthen DCO Governance
...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…
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“The Observer Effect”
... “The Observer Effect” Commissioner Bart Chilton’s Speech to Risk USA 2012, New York, NY November 14, 2012 Introduction Good morning! It’s good to be with you today. Thank you for the kind invitation. Let’s do something a little unconventional this morning. Let’s talk…
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