The CFTC announced it will award approximately $7 million to a whistleblower. Relevant information from the whistleblower’s acco...
CN Editor
September 30, 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
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