Displaying results 751 - 760 of 1195
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…
Created on:
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)),…
Created on:
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…
Created on:
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 …
Created on:
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…
Created on:
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)…
Created on:
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)…
Created on:
2019-20476
...[Federal Register Volume 84, Number 188 (Friday, September 27, 2019)] [Rules and Regulations] [Pages 51005-51023] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2019-20476]   ======================================================================== Rules and Regulations          …
Created on:
CFTC Conditions Foreign Access on Adoption of Position Limits on London Crude Oil Contract
... Release: 5511-08 For Release: June 17, 2008 CFTC Conditions Foreign Access on Adoption of Position Limits on London Crude Oil Contract Amended Foreign Access Relief Establishes New Standard Washington, DC – Today, the Commodity Futures Trading Commission (CFTC or Commission) announced that Commission staff has amended the “no-action relief letter” under which ICE Futures Europe is…
Created on:
CFTC’s Office of General Counsel Announces New Deputy General Counsel Appointments
… strong leadership in preparing opinions, orders, and settlements in aiding the Commission’s performance of its …
Created on: