The Commodity Futures Trading Commission announced two orders filing and simultaneously settling charges against two swap executi...
CN Editor
October 02, 2024
CFTC CHARGES OREGON RESIDENT AND HIS CORPORATION WITH FRAUD RELATED TO LEVERAGED FOREIGN CURRENCY AND METALS, AND FAILING TO REGISTER
CFTC CHARGES FLORIDA MAN WITH $600,000 OPTIONS FRAUD
CFTC ORDERS TAIWANESE FIRM TO PAY $200,000 FOR WASH SALES
CFTC ORDERS TRADITION SEF LLC TO PAY $875,000 FOR SYSTEM SAFEGUARDS VIOLATIONS AND FAILING TO PROVIDE RECORDS PROMPTLY DURING CFTC EXAMINATION
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CIRO SANCTIONS RBC DOMINION SECURITIES FOR TRADING RULE VIOLATIONS
NEW WEBCAST: CLIENT FOCUSED REFORMS: CONFLICTS OF INTEREST & JOINT SWEEP CSA/CIRO REPORT
TRIBUNAL BANS FORMER BAY STREET EXEC, AGAIN
CIRO SANCTIONS FORMER SCOTIA SECURITIES REP FROM MARKHAM, ONTARIO