Displaying results 1371 - 1380 of 2823
… September 29, 2014 CFTC Orders Fan Zhang to Pay $250,000 for Engaging in … DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Fan Zhang for engaging in fictitious sales … CFTC Orders Fan Zhang to Pay $250,000 for Engaging in …
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… September 15, 2014 CFTC Fines Morgan Stanley Smith Barney for Supervision and … Failures Relating to Its “Know Its Customer” Procedures CFTC also finds other supervisory failures relating to … today issued an Order filing and simultaneously settling charges against Morgan Stanley Smith Barney, LLC (Morgan …
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… July 11, 2016 CFTC Orders Singapore-Based Agrocorp International Pte Ltd. … DC - The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and settling charges against Agrocorp International Pte Ltd. (Agrocorp), … CFTC Orders Singapore-Based Agrocorp International Pte Ltd. …
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… today issued an order simultaneously filing and settling charges against Starberry Limited for acting as a futures … Director of Enforcement Director Gretchen Lowe said, “The CFTC will continue to vigilantly investigate and prosecute … Saadeh Al-Jurf, Christine Ryall, and Paul G. Hayeck. The CFTC strongly urges the public to verify a company’s …
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… today issued an order simultaneously filing and settling charges against ICE Clear Europe Limited (ICEU) for … and to cease and desist from any further violations of the CFTC regulations, as charged. Case Background The order … thereafter, and thus failed to meet the requirements of CFTC regulations. ICEU also failed to have adequate …
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… Keynote Address by CFTC Commissioner J. Christopher Giancarlo TabbFORUM, Fixed … New York, New York A Pro-Reform Reconsideration of the CFTC Swaps Trading Rules January 29, 2015 Introduction Thank … the views of the Commodity Futures Trading Commission (CFTC or Commission), my fellow Commissioners or the CFTC …
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… January 29, 2018 CFTC Files Eight Anti-Spoofing Enforcement Actions against … have created new opportunities in our markets. At the CFTC, we are committed to facilitating these … Bank The CFTC today issued an Order filing and settling charges against Deutsche Bank AG (DB AG) and Deutsche …
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… Futures Trading Commission today filed and settled charges against Mizuho Capital Markets LLC , a provisionally … from further violations of the Commodity Exchange Act and CFTC regulations, as charged, and mandates its compliance … continuing its remediation efforts and updating the CFTC on its remediation efforts and compliance. The CFTC …
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… Respondents James R. Burgess and Optioneer Inc. Settle Charges That They Made False Website Claims About … D.C.— The US Commodity Futures Trading Commission (CFTC) announced today the filing and simultaneous settlement … California, and his firm, Optioneer Inc. (Optioneer) . The CFTC order finds that they used misleading advertising on …
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… entities and swap counterparties in complying with the CFTC's swap data reporting regulations. These identifiers will be known as CFTC Interim Compliant Identifiers (CICIs) until … Division of Market Oversight, 202-418-5488, dtaylor@cftc.gov; or Srini Bangarbale, Chief Data Officer, Office of …
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