U.S. Commodity Futures Trading Commission (CFTC) Chairman Heath P. Tarbert today announced the following appointments to the CFTC...
CN Editor
August 08, 2019
MIAMI FEDERAL COURT ENTERS PRELIMINARY INJUNCTION ORDER AGAINST CERTIFIED PUBLIC ACCOUNTANT IN CONNECTION WITH $58 MILLION FOREIGN CURRENCY FRAUD AND MISAPPROPRIATION SCHEME
CFTC CHARGES MOSAIC EXCHANGE LIMITED AND SEAN MICHAEL WITH A FRAUDULENT SOLICITATION AND DIGITAL ASSET COMMODITIES TRADING SCHEME
CFTC AWARDS WHISTLEBLOWER MORE THAN $300,000
FEDERAL COURT ORDERS CHINESE NATIONAL TO PAY MORE THAN $350,000 FOR FRAUDULENT SCHEME TO TRADE AGAINST EMPLOYER
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS