Displaying results 741 - 750 of 1186
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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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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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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Keynote Address by Commissioner Scott D. O’Malia, The Future of Financial Standards – SWIFT Institute, SWIFT’s Standards Forum, and the London School of Economics and Political Science, London, England
… I welcome any questions you might have. 1 Bank for Int’l Settlements, Derivatives statistics (updated Nov. 7, 2013), …
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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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Statement of CFTC Commissioner J. Christopher Giancarlo Comparability Determination for the European Union: Dually-Registered Derivatives Clearing Organizations and Central Counterparties
... Statement of CFTC Commissioner J. Christopher Giancarlo Comparability Determination for the European Union: Dually-Registered Derivatives Clearing Organizations and Central Counterparties March 16, 2016 I support the comparability determinations issued by the Commodity Futures Trading…
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Opening Statement Before the Global Markets Advisory Committee
… global markets. According to the Bank of International Settlements, the global OTC market size is estimated at $600 …
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CFTC Restricts Registration of Steven A. Cohen Based on Failure to Supervise
... August 16, 2016 CFTC Restricts Registration of Steven A. Cohen Based on Failure to Supervise Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC)…
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Chicago-Based Cadent Financial Services LLC Sanctioned for Failing to Diligently Supervise Employees
... Release: 5725-09 For Release: September 30, 2009 Chicago-Based Cadent Financial Services LLC Sanctioned for Failing to Diligently Supervise Employees CFTC orders Cadent to pay a $120,000 civil penalty and to strengthen its supervisory system. Washington, DC ― The U.S. Commodity Futures Trading Commission (CFTC)…
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CFTC Sanctions Velocity Futures, LLC, for Supervision Violations
... November 9, 2011 CFTC Sanctions Velocity Futures, LLC, for Supervision Violations Velocity Agrees to Pay a Civil Monetary Penalty of $180,000 Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced the filing and simultaneous settlement of charges against Velocity Futures, LLC, a registered…
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