Displaying results 811 - 820 of 1186
CFTC Orders Cargill, Inc. to Pay a $10 Mln Penalty for Providing Inaccurate Mid-Market Marks on Swaps, Which Concealed Cargill’s Full Mark-up, in Violation of Swap Dealer Business Conduct & Reporting Requirements, & for Supervision Failures
... November 6, 2017 CFTC Orders Cargill, Inc. to Pay a $10 Million Civil Monetary Penalty for Providing Inaccurate Mid-Market Marks on Swaps, Which Concealed Cargill’s Full Mark-up, in Violation of Swap Dealer Business Conduct and Reporting Requirements, and for Failing to Supervise Swap Dealer Employees Washington, DC – The Commodity Futures Trading Commission (CFTC) today announced the…
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CFTC Staff to Host a Public Roundtable March 3 Regarding the Residual Interest Deadline
... Transcript CFTC Staff to Host a Public Roundtable March 3 Regarding the Residual Interest Deadline The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight and the Office…
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Statement, Meeting of the Commodity Futures Trading Commission to Discuss: Futures and Binary Options Based on Box Office Receipts
... Statement of Commissioner Scott D. O’Malia on Meeting of the Commodity Futures Trading Commission to Discuss: Futures and Binary Options Based on Box Office Receipts May 19, 2010 Mr. Chairman, thank you for calling this hearing, and I appreciate the participation of our witnesses. …
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Joint Statement of Concurrence of Commissioners Dawn D. Stump and Rostin Behnam Regarding JPMorgan Chase & Co., et al.
...We concur with the Commission’s decision to accept the Offer of Settlement from JPMorgan Chase Bank, N.A.; J.P. Morgan Securities LLC; and JPMorgan Chase & Co. (the “Respondents”).  We concur with the Commission’s findings that the Respondents engaged in unlawful spoofing, manipulation, and attempted manipulation in precious metals and treasuries markets, and that Respondent J.P.…
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CFTC Sanctions MF Global Inc. $10 Million for Significant Supervision Violations between 2003 and 2008
... Release: 5763-09 For Release: December 17, 2009 CFTC Sanctions MF Global Inc. $10 Million for Significant Supervision Violations between 2003 and 2008 CFTC charges relate to risk supervision failures in four separate instances. Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today announced…
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Cantor Fitzgerald Sanctioned $700,000 for Allowing Customer Funds to Become Under-Segregated
... November 21, 2012 Cantor Fitzgerald Sanctioned $700,000 for Allowing Customer Funds to Become Under-Segregated Cantor also charged for failing to timely notify the…
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CFTC Orders Rosenthal Collins Group, LLC, a Registered Futures Commission Merchant, to Pay More than $2.5 Million for Supervision and Record-Production Violations
... April 12, 2012 CFTC Orders Rosenthal Collins Group, LLC, a Registered Futures Commission Merchant, to Pay More than $2.5 Million for Supervision and Record-Production…
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CFTC Charges Joseph F. Welsh III, Former MF Global Broker, with Attempted Manipulation of Palladium and Platinum Futures Prices
... March 14, 2012 CFTC Charges Joseph F. Welsh III, Former MF Global Broker, with Attempted Manipulation of Palladium and Platinum Futures Prices Washington, DC - The…
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CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling Accounts it Carried
... March 13, 2012 CFTC Orders Goldman Sachs Execution & Clearing, L.P., a Registered Futures Commission Merchant, to Pay $7 Million for Supervision Failures in Handling…
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CFTC Approves Substituted Compliance Framework in Follow-up to the Recent Equivalence Agreement between the US and the EU
... March 16, 2016 CFTC Approves Substituted Compliance Framework in Follow-up to the Recent Equivalence Agreement between the US and the EU Division Staff…
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