Displaying results 821 - 830 of 1195
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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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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Deutsche Bank to Pay Over $10 Million to Settle Two CFTC Cases
...Washington, D.C. — The Commodity Futures Trading Commission today announced the settlement of two enforcement matters involving Deutsche Bank. In the first matter, Deutsche Bank AG (Deutsche Bank) resolved federal court charges stemming from alleged violations of various swap data reporting and other regulatory violations. In the second matter, the CFTC issued an administrative order against…
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Statement of Commissioner Dan M. Berkovitz on Proposed Amendments to Part 39: Derivatives Clearing Organization General Provisions and Core Principles
… to about $595 trillion in 2018.  See Bank of International Settlements, OTC derivatives notional amount outstanding by …
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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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Remarks of Commissioner Thomas J. Erickson, Derivatives Deregulation and Financial Markets: Right Medicine at the Right Time?, Economic Strategy Institute
...Remarks of Commissioner Thomas J. Erickson, Derivatives Deregulation and Financial Markets: Right Medicine at the Right Time?, Economic Strategy Institute July 27, 2000 I should preface my remarks with a couple of disclaimers. First, my comments are mine alone and should not be considered to be those of the Commission. Moreover, I will not be commenting directly on those portions of the…
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Commissioner Quintenz Named Sponsor of the Technology Advisory Committee
... September 18, 2017 Commissioner Quintenz Named Sponsor of the Technology Advisory Committee Washington, DC — The U.S. Commodity Futures Trading Commission (CFTC) today announced that Commissioner Brian Quintenz will sponsor the CFTC’s Technology Advisory Committee (TAC). The TAC advises the CFTC on technological innovations in the markets and the appropriate regulatory response to…
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CFTC Settles Natural Gas False Reporting and Attempted Manipulation Lawsuit with Two Energy Traders
... Release: 5258-06 For Release: November 17, 2006 U.S. Commodity Futures Trading Commission Settles Natural Gas False Reporting and Attempted Manipulation Lawsuit with Two Energy Traders Defendants Christopher McDonald, a Former V.P. of West Trading at Mirant Americas Energy Marketing, L.P. (Mirant), and Michael Whalen, a…
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Chairman Gensler’s Statement of Support of the Dodd-Frank Rulemakings
... Statement of Support by Chairman Gary Gensler Internal Business Conduct I support the internal business conduct rule, which will lower the risk that swap dealers pose to the rest of the economy. These rules are the result of a critical reform in the Dodd-Frank Wall Street reform and Consumer…
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CFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of the Gold and Silver Futures Markets and Permanently Bans Him from Trading and Other Activities in CFTC-Regulated Markets
... June 2, 2017 CFTC Finds Former Trader David Liew Engaged in Spoofing and Manipulation of the Gold and Silver Futures Markets and Permanently Bans Him from Trading and Other Activities in CFTC-Regulated Markets CFTC Recognizes Liew’s Cooperation and Substantial Assistance in the Investigation, which Included Entering into a Cooperation…
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