Displaying results 861 - 870 of 1195
e8-17529
... FR Doc E8-17529[Federal Register: August 1, 2008 (Volume 73, Number 149)] [Proposed Rules] [Page 44939-44945] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr01au08-11…
Created on:
e8-17529
... FR Doc E8-17529[Federal Register: August 1, 2008 (Volume 73, Number 149)] [Proposed Rules] [Page 44939-44945] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr01au08-11…
Created on:
Federal Court Issues Final Judgment in Trial of Fraud Action Brought by the CFTC
... Release: 5192-06 For Release: June 27, 2006 Federal Court Issues Final Judgment in Trial of Fraud Action Brought by U.S. Commodity Futures Trading Commission Gibraltar Monetary Corporation, Inc. and Employees Jayson Kline, Charles Fremer and Edward Johnson Ordered to Pay Over $2.7 Million to 253 Foreign Currency (Forex)…
Created on:
Enforcement Director Gregory Mocek to Leave CFTC
… years, the Commission obtained more than $3.1 billion in settlements and judgments and, approximately 70% of those …
Created on:
Address by Chairman James E. Newsome before the International Practice of Derivatives Market Regulation Seminar, Sponsored by the Center for Strategic Research and the FRI Fund, Moscow, Russia
...Address by Chairman James E. Newsome before the International Practice of Derivatives Market Regulation Seminar, Sponsored by the Center for Strategic Research and the FRI Fund, Moscow, Russia November 17, 2003 Institution Building and the U.S. Regulatory Experience Good morning to all of you. It is an honor and a pleasure to address you during this critical time in the…
Created on:
CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations
...Washington, D.C. — The Commodity Futures Trading Commission today filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant (FCM), for failing to diligently supervise its officers’, employees’, and agents’ handling of several commodity trading accounts and failing to adequately implement procedures to detect and report suspicious…
Created on:
Keynote Address of CFTC Commissioner J. Christopher Giancarlo before the 2015 ISDA Annual Asia Pacific Conference
… Monetary Fund (IMF), 12 the Bank for International Settlements (BIS), 13 the Bank of England, 14 Federal … 10 See Bank for Int’l Settlements, 85th Annual Report 106 (2015), … 13 Bank for Int’l Settlements, supra note 10 , at 36–40 (citing the increasing … 32 Bank for Int’l Settlements, supra note 10 , at 36–40. 33 See, e.g. , Office …
Created on:
Testimony of Chairman Timothy G. Massad before the U.S. Senate Committee on Agriculture, Nutrition & Forestry
… and New York’s Department of Financial Services announced settlements with Deutsche Bank over charges of false …
Created on:
Keynote Speech of CFTC Commissioner Sharon Y. Bowen before the Quadrilateral Meeting at the European Central Bank (Frankfurt, Germany)
… Commissioner of the CFTC, I’ve seen a significant number of settlements and enforcement actions in the last year. Some …
Created on:
“The Boss”
… clear that we needed to ensure admissions of wrongdoing in settlements—enough already. You’ve Got It I won’t go through …
Created on: