The Commodity Futures Trading Commission’s Market Participants Division (MPD) announced it has issued a temporary no-action lette...
CN Editor
August 18, 2022
CFTC ORDERS DESIGNATED CONTRACT MARKET TO PAY $6.5 MILLION FOR SYSTEM SAFEGUARD, REPORTING, AND FALSE STATEMENT VIOLATIONS
CFTC ORDERS FUTURES COMMISSION MERCHANT TO PAY $500,000 FOR SUPERVISION FAILURES RELATING TO IMPROPER OR FICTITIOUS TRADE TRANSFER REQUESTS
CFTC ORDERS TPSEF TO PAY $850,000 FOR VIOLATION OF 15-SECOND DELAY RULE FOR EXECUTION OF CROSS TRANSACTIONS ON A SEF
CFTC ORDERS 11 FINANCIAL INSTITUTIONS TO PAY OVER $710 MILLION FOR RECORDKEEPING AND SUPERVISION FAILURES FOR WIDESPREAD USE OF UNAPPROVED COMMUNICATION METHODS
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IIROC FINES CANACCORD GENUITY CORP.
IIROC BANS, FINES FORMER ADVISOR $1 MILLION
NEW GOVERNANCE STRUCTURE TAKES EFFECT AT OSC
MUJAHID ALI SYED AND SANJIV KATYAL CHARGED WITH SECURITIES FRAUD TARGETING MEMBERS OF THE PAKISTANI-CANADIAN COMMUNITY