The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a Staff Adviso...
CN Editor
July 10, 2019
CFTC ORDERS A CALIFORNIA COMMODITY TRADING ADVISOR TO PAY MORE THAN $4 MILLION FOR FRAUD AND REGISTRATION VIOLATIONS
BCBS-CPMI-IOSCO PUBLISH ANALYSIS OF MARGINING DYNAMICS IN CENTRALLY CLEARED COMMODITIES MARKETS DURING 2022 STRESS EVENTS
CFTC CHARGES FIVE DEFENDANTS WITH FRAUDULENT DIGITAL ASSETS TRADING SCHEME
CFTC STAFF ISSUES AN ADVISORY RELATED TO PRIME BROKERAGE ARRANGEMENTS AND DERIVATIVES CLEARING ORGANIZATION REGISTRATION REQUIREMENTS
Thank you for the feedback!!
NEW SRO ALLEGES FORMER SCOTIA CAPITAL INC. REP CONDUCTED OFF-BOOK INVESTMENTS WITHOUT AUTHORIZATION
NEW SRO ALLEGES FORMER CIBC SECURITIES INC. REP MISAPPROPRIATED FUNDS AND ENGAGED IN PERSONAL FINANCIAL DEALINGS WITH A CLIENT
OSC PUBLISHES ITS 2023-2024 STATEMENT OF PRIORITIES
NEW SRO SANCTIONS FORMER SCOTIA CAPITAL INC. REP FROM HALIFAX, NS