Displaying results 811 - 820 of 1186
...
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…
Created on:
...
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…
Created on:
...
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.
…
Created on:
...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.…
Created on:
...
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…
Created on:
...
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…
Created on:
...
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…
Created on:
...
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…
Created on:
...
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…
Created on:
...
March 16, 2016
CFTC Approves Substituted Compliance Framework in Follow-up to the Recent Equivalence Agreement between the US and the EU
Division Staff…
Created on: