At an open meeting, the U.S. Commodity Futures Trading Commission approved amendments to Part 4 that will harmonize CFTC and SEC ...
CN Editor
November 26, 2019
FEDERAL COURT ORDERS CALIFORNIA-BASED PRECIOUS METALS COMPANY, CEO, SENIOR SALESPERSON TO PAY OVER $56 MILLION FOR FRAUD IN CONNECTION WITH PRECIOUS METALS SALES
FEDERAL COURT ORDERS CALIFORNIA MAN AND HIS COMPANY TO PAY $9 MILLION IN RESTITUTION AND PENALTIES FOR FOREX FRAUD
FEDERAL COURT SANCTIONS NEVADA METALS TRADER FOR SPOOFING IN GOLD AND SILVER MARKETS
CFTC ORDERS AUSTRALIAN SWAP DEALER TO PAY $500,000 FOR SUPERVISION FAILURES
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CIRO COMPLIANCE PRIORITIES REPORT FOR 2024: HELPING FIRMS WITH COMPLIANCE
CIRO SANCTONS BMO NESBITT BURNS FOR SUPERVISORY FAILURES
NEW CIRO COMPLAINT HANDLING BROCHURE AND REMINDER REGARDING DEADLINE TO UPDATE MEMBERSHIP DISCLOSURES TO CIRO
CANADIAN SECURITIES REGULATORS PUBLISH TWO NEW ANNUAL REPORTS