The Commodity Futures Trading Commission issued an order filing and settling charges against Taishin Securities Co., Ltd., a Taiw...
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 TWO SWAP EXECUTION FACILITIES TO PAY $1.3 MILLION FOR SWAP DATA REPORTING AND CORE PRINCIPLE VIOLATIONS
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