Displaying results 741 - 750 of 1195
CFTC's Division of Enforcement Clarifies Cooperation Advisory with Respect to the Attorney-Client and Work Product Privileges
... Release: 5296-07 For Release: March 1, 2007 CFTC's Division of Enforcement Clarifies Cooperation Advisory with Respect to the Attorney-Client and Work Product Privileges Washington, D.C. – The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Enforcement issued amendments to its 2004 Enforcement Advisory on…
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U.S. Commodity Futures Trading Commission Revokes the Registration of Risk Capital Trading Group, Inc.
... Release: 5283-07 For Release: February 1, 2007 U.S. Commodity Futures Trading Commission Revokes the Registration of Risk Capital Trading Group, Inc. Washington, D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today the January 23, 2007, issuance of an order revoking the registration of Risk Capital…
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CFTC Revokes the Registration of Chase Commodities Corporation of Woodland Hills, California
... Release: 5231-06 For Release: September 26, 2006 U.S. Commodity Futures Trading Commission Revokes the Registration of Chase Commodities Corporation Washington, D.C.— The U.S. Commodity Futures Trading Commission (CFTC) announced today that it has accepted an offer of settlement from Chase Commodities Corporation (Chase) of…
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CFTC Reopens Public Comment Period on Margin Requirements for Uncleared Swaps
… paper is available on the Bank for International Settlements website ( www.bis.org ), and the IOSCO website ( …
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Opening Statement Before the CFTC Agricultural Advisory Committee
... Opening Statement of Agricultural Advisory Committee Chairman Michael V. Dunn (As Prepared for Delivery) July 29, 2008 Welcome to the Agricultural Advisory Committee of the CFTC. This is the 32nd meeting of this advisory committee and it is a very important one given the recent turmoil…
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CFTC Sanctions Commodity Trading Advisor Alan F. Dasher
... January 13, 2011 CFTC Sanctions Commodity Trading Advisor Alan F. Dasher Dasher prohibited from acting in any registered capacity for three years. …
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2013-30981
... Federal Register, Volume 78 Issue 249 (Friday, December 27, 2013)[Federal Register Volume 78, Number 249 (Friday, December 27, 2013)] [Notices] [Pages 78878-78890] From the Federal Register Online via the Government Printing Office [www.gpo.gov] [FR Doc No: 2013-30981…
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Guest Lecture of Commissioner J. Christopher Giancarlo, Harvard Law School, Fidelity Guest Lecture Series on International Finance
… Monetary Fund (IMF), 67 the Bank for International Settlements (BIS), 68 the Bank of England, 69 Federal … 65 See Bank for Int’l Settlements, 85th Annual Report 106 (2015), … 56 , at 49–53; Rennison, supra note 59 . 68 Bank for Int’l Settlements, supra note 65 , at 36–40 (citing the increasing …
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CFTC Orders BGC Financial, L.P. to Pay $3 Million for Supervision, Reporting, and Recordkeeping Violations
...November 22, 2019 CFTC Orders BGC Financial, L.P. to Pay $3 Million for Supervision, Reporting, and Recordkeeping Violations Washington, DC – The U.S. Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against BGC Financial, L.P., a futures industry voice broker and registered futures commission merchant (FCM), for numerous supervision…
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CFTC Restricts the Registrations of Commodity Professionals John C. Glase, Sutherland Group, Inc., and Skibo Asset Management, LLC
... Release: 5640-09 For Release: March 30, 2009 CFTC Restricts the Registrations of Commodity Professionals John C. Glase, Sutherland Group, Inc., and Skibo Asset Management, LLC Washington, DC – The registrations of John C. Glase, Sutherland Group, Inc. (Sutherland) (previously named Carnegie Trading Group, Ltd., Inc. (Carnegie)),…
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