Displaying results 751 - 760 of 1186
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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Further Product Definitions
… SEC     02/17/2011 9:30 AM More Info Bank for International Settlements (BIS) Davis Polk & Wardwell LLP (Davis Polk) … SEC     02/17/2011 9:30 AM More Info Bank for International Settlements (BIS) Davis Polk & Wardwell LLP (Davis Polk) …
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Supporting Statement of Commissioner Brian D. Quintenz Regarding Final Rule: Derivatives Clearing Organization General Provisions and Core Principles
...Supporting Statement of Commissioner Brian D. Quintenz Regarding Final Rule: Derivatives Clearing Organization General Provisions and Core Principles December 18, 2019   I am pleased to support today’s final rule that amends the Commissions regulations governing derivatives clearing organizations (DCOs).[1]  Before highlighting aspects of the final rule, I would like to…
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Remarks of Director of Enforcement James McDonald During CFTC-DOJ Press Conference Call
...September 16, 2019 Remarks of Director of Enforcement James McDonald During CFTC-DOJ Press Conference Call This morning, the CFTC announced the filing of manipulation and spoofing charges against three individuals who served as executives and traders on the same trading desk of a major U.S. financial institution.  Michael Nowak and Gregg Smith are charged with manipulative conduct…
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2024-04938
… which lists certain disqualifying  offenses, suspensions, settlements, revocations, bars, and denials. … authorized to conduct hearings, render decisions, approve settlements,  and impose sanctions with respect to … authorized to conduct hearings, render decisions, approve settlements,  and impose sanctions with respect to …
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Remarks of Commissioner David D. Spears before the 20th Burgenstock Meeting of the Swiss Futures and Options Association
… continues to expand. Data from the Bank for International Settlements suggests that OTC markets are playing an ever …
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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…
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Remarks of Chairman Timothy Massad before the ISDA 30th Annual General Meeting
... Remarks of Chairman Timothy Massad before the ISDA 30th Annual General Meeting April 23, 2015 As Prepared For Delivery Thank you for inviting me today, and I thank Eric for that kind introduction. It’s a pleasure to be here. It is thirty years since ISDA was created, and…
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Keynote Address by Commissioner Scott D. O’Malia, SIFMA Compliance and Legal Society Annual Seminar
... CFTC’s Implementation of Dodd-Frank — Grading Agency Transparency Keynote Address by Commissioner Scott D. O’Malia, SIFMA Compliance and Legal Society Annual Seminar March 19, 2013 I want to thank Stephen Strombelline for his kind introduction and for inviting me to speak at this…
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