The CFTC filed a civil enforcement action in federal court in Florida against Sarasota area defendants Oasis International Group,...
CN Editor
April 23, 2019
SEC ANNOUNCES ENFORCEMENT RESULTS FOR FISCAL YEAR 2025
EXEC USED EX-WIFE"S ACCOUNTS FOR INSIDER TRADING: SEC
CFTC SUES TRIO OF STATES TO REAFFIRM ITS EXCLUSIVE JURISDICTION OVER PREDICTION MARKETS
FEDERAL COURT GRANTS CFTC MOTION FOR SUMMARY JUDGMENT, ORDERS FORMER HEDGE FUND MANAGER TO PAY $2.2 MILLION FOR SWAP VALUATION FRAUD
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS
FORMER BROKER CHARGED IN "FREE RIDER" CASE