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 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
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CEO SETTLES WITH ASC AFTER ADMITTING TO "TIPPING"
NEW SRO ALLEGES FORMER SCOTIA SECURITIES INC REP FALSIFIED CLIENT SIGNATURES AND MADE FALSE OR MISLEADING STATEMENTS DURING INVESTIGATION
NEW SRO ALLEGES FORMER CANACCORD GENUITY CORP REP FAILED TO LEARN AND REMAIN INFORMED OF THE ESSENTIAL FACTS RELATIVE TO A CLIENT
SEC ISSUES LARGEST-EVER WHISTLEBLOWER AWARD