Displaying results 811 - 820 of 1195
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 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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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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Remarks of Commissioner Sharon Y. Bowen before the Managed Funds Association Forum 2016
… attention should be paid to whether there were any settlements or court judgments for market manipulation – …
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Opening Statement of Commissioner Scott D. O’Malia
… the principles set forth by the Bank for International Settlements’ (“BIS”) Committee on Payment and Settlement …
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Keynote Address of the 7th Annual FIA Asia Derivatives Conference
… principles. For example, the Bank for International Settlements’ (“BIS”) Committee on Payment and Settlement …
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Speech, "Pencils Down: Let’s Take a Break" at the Electric Power Supply Association Annual Meeting
... “Pencils Down: Let’s Take a Break” CFTC Commissioner Bart Chilton before the Electric Power Supply Association Annual Meeting, Scottsdale, Arizona January 30, 2010 Thank you, John (Shelk) for that introduction. Thank you also, John, for being a member of our Energy and Environmental…
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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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