Displaying results 761 - 770 of 1195
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 …
Created on:
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…
Created on:
CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to Generate Exchange Rebate Fees
... June 29, 2017 CFTC Orders Rosenthal Collins Capital Markets LLC, Now Known as DV Trading LLC, to Pay a Civil Penalty of $5 Million for Engaging in Illegal Wash Sales Designed to Generate Exchange Rebate Fees Former RCCM Trader Brandon Elsasser also Ordered to Pay $200,000 for Similar Unlawful Trading Conduct Washington DC – The U.S. Commodity Futures Trading Commission (CFTC) today…
Created on:
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 …
Created on:
Futures Commission Merchant Nations Investments, LLC and Members of Two South Florida Families Ordered to Pay $5.4 Million to Settle Undercapitalization and False Statement Charges Brought by the CFTC
... Release: 5538-08 For Release: September 2, 2008 Futures Commission Merchant Nations Investments, LLC and Members of Two South Florida Families Ordered to Pay $5.4 Million to Settle Undercapitalization and False Statement Charges Brought by the CFTC Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC)…
Created on:
Statement on Support of Advanced Notice of Proposed Rulemaking on the Authority to Designate Financial Market Utilities as Systemically Important
... Statement on Support of Advanced Notice of Proposed Rulemaking on the Authority to Designate Financial Market Utilities as Systemically Important Chairman Gary Gensler November 23, 2010 I support the advanced notice of proposed rulemaking on the Authority to Designate Financial…
Created on:
CFTC Sanctions Former Metals Trader for Defrauding General Motors
... September 20, 2010 CFTC Sanctions Former Metals Trader for Defrauding General Motors Former General Motors executive Daniel J. Bealko personally profited by $6.5…
Created on:
Gage’s Fertilizer & Grain, Inc., a Missouri Grain Elevator, and its President-Owner, Steven W. Gage, to Pay $175,000 to Settle CFTC Charges of Violating Registration Requirements
... July 22, 2010 Gage’s Fertilizer & Grain, Inc., a Missouri Grain Elevator, and its President-Owner, Steven W. Gage, to Pay $175,000 to Settle CFTC Charges of Violating…
Created on:
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…
Created on:
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…
Created on: