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Statement of Commissioner Christy Goldsmith Romero In Support of Enforcement Action Against Bank of Nova Scotia For Widespread Use of Whatsapp and Text Messaging to Evade Regulatory Oversight
… action in 2018 against BNS for market manipulation known as spoofing. [3]   Then in 2020, the CFTC brought another … enforcement action against BNS for market manipulation (spoofing)—this time in parallel with a Department of Justice … Orders to Bank of Nova Scotia to Pay $800,000 Penalty for Spoofing in the Precious Metals Futures Markets , (Oct. 1, …
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Keynote Address of Chairman Rostin Behnam at the Futures Industry Association Expo 2023, Chicago, Illinois
… zero tolerance policy towards manipulative, deceptive, and spoofing transactions was illustrated several times, most … its head-trader and CEO Andrew Serotta charging them with spoofing, engaging in a manipulative and deceptive scheme, … Trading in Connection with Swaps Related to Bond Issuances Spoofing, and Supervision and Mobile Device Recordkeeping …
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Keynote Address of CFTC Chairman Rostin Behnam at the Piper Sandler Global Exchange and Trading Conference, New York, NY
… – whether we are bringing cases for fraud, manipulation, spoofing, disruptive trading, or failures to comply with …
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Keynote of Chairman Rostin Behnam at the 2023 U.S. Treasury Market Conference
… big data and advanced analytical techniques to identify spoofing behavior and other disruptive trading strategies in … algorithms have already identified multiple potential spoofing cases including more complex spoofing techniques like cross-market spoofing, which have …
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History of the CFTC
… for thousands of occasions of attempted manipulation and spoofing in gold and silver futures contracts over a period … for thousands of occasions of attempted manipulation and spoofing in gold and silver futures contracts over a period …
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Speech of Commissioner Kristin Johnson: Building A Regulatory Framework for AI in Financial Markets
… with a learning mechanism recognizes correlations between spoofing and higher returns, what protections are in place …
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CFTC Releases Annual Enforcement Results
… Release 8590-22 ] Manipulative and Deceptive Conduct and Spoofing In its largest benchmark manipulation case to date, … defendants engaged in cross-market and single market spoofing involving CBOT soybean futures and options on … Release 8514-22 ] The CFTC brought several actions finding spoofing by respondents in a number of different markets, …
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Testimony by Chairman Rostin Behnam Before the Subcommittee on Agriculture, Rural Development, Food and Drug Administration and Related Agencies Committee on Appropriations, U.S. House of Representatives
… fiscal year. [8] Manipulative and Deceptive Conduct and Spoofing: DOE is the CFTC’s most effective tool in rooting … defendants engaged in cross-market and single market spoofing involving CBOT soybean futures and options on soybean futures, and brought several actions finding spoofing in a number of different markets, including gold …
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Federal Court Orders Illinois Software Development Firm to Pay Penalty and Disgorgement for Aiding and Abetting Illegal Conduct
… brought in connection with the Division of Enforcement’s Spoofing Task Force. [See CFTC Press Release No. 7689-18 ] The order provides that Edge aided and abetted Trader A’s spoofing (bidding or offering with the intent to cancel the … A knowing that he planned to use this function to engage in spoofing and to employ a manipulative scheme. The …
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Deutsche Bank to Pay Over $10 Million to Settle Two CFTC Cases
… and settling charges that two of DBSI’s traders engaged in spoofing. According to the order, DBSI manually placed bids … or offers before execution, an illegal practice known as spoofing. Deutsche Bank District Judge William H. Pauley III … charges against DBSI for engaging in numerous instances of spoofing in the Treasury futures and Eurodollar futures …
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