The CFTC"s Division of Swap Dealer and Intermediary Oversight (DSIO) and Division of Clearing and Risk (DCR) issued a joint DSIO ...
CN Editor
July 11, 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
IOSCO SETS THE STANDARD FOR GLOBAL CRYPTO REGULATION
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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