The CFTC announced that it obtained a $16 million penalty and injunction pursuant to a federal court’s entry of a consent order a...
CN Editor
August 16, 2019
CFTC ORDERS CALIFORNIA RESIDENT TO PAY $300,000 FOR A FICTITIOUS SALES SCHEME
CFTC ORDERS CHICAGO-BASED ADVANTAGE FUTURES LLC TO PAY $395,000 FOR SUPERVISION FAILURES
CFTC ORDERS STONEX MARKETS LLC TO PAY $650,000 FOR VIOLATIONS OF SWAP BUSINESS CONDUCT STANDARDS
CFTC GRANTS TWO WHISTLEBLOWER AWARDS TOTALING OVER $15 MILLION
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INVESTOR COMPLAINS THAT UNSUITABLE MUTUAL FUND INVESTMENTS LED TO FINANCIAL LOSS
CIRO UPDATED GUIDANCE - ANTI-MONEY LAUNDERING COMPLIANCE FOR INVESTMENT DEALERS
BCSC SETTLES WITH PORTFOLIO MANAGER FOR SALES PRACTICE AND COMPLIANCE SYSTEM VIOLATIONS
PMAC SUMMARY ON THE OSC"S ANNUAL COMPLIANCE AND REGISTRANT REGULATION (CRR) BRANCH SUMMARY REPORT FOR DEALERS, ADVISERS AND INVESTMENT FUND MANAGERS