The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges against Goldman Sachs & Co. L...
CN Editor
October 03, 2023
CFTC LAUNCHES TOKENIZED COLLATERAL AND STABLECOINS INITIATIVE
CFTC OBTAINS $1.2M FOR FRAUD VICTIMS, $2.8M OVERALL FROM FLORIDA COMMODITY FIRM, OWNER
CFTC SANCTIONS TRADING FIRM $212,500 FOR WASH SALES
SEC AND CFTC EXTEND FORM PF COMPLIANCE DATE TO OCT. 1, 2026
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CLEARING MEMBER UPDATE - FIDELITY CLEARING CANADA ULC
CIRO ALLEGES REFERRAL ARRANGEMENT VIOLATIONS BY FORMER KEMP FINANCIAL GROUP REPS FROM NIAGARA FALLS, ON
FINTRAC IMPOSES AN ADMINISTRATIVE MONETARY PENALTY ON PRIMARY CAPITAL INC.
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS