Displaying results 2021 - 2030 of 2823
2010-29023
… The Commodity Futures Trading Commission (Commission or CFTC) is proposing rules to implement new statutory … Web site, via its Comments Online process: http:// comments.cftc.gov. Follow the instructions for submitting comments … to a disciplinary panel or other authority for issuance of charges, instruction to investigate further, or finding that …
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Federal Court Orders Texas Unregistered Commodity Pool Operator to Pay More Than $13 Million for Commodity Fraud
… , most recently of Lakeway, Texas. The order resolves a CFTC action filed on September 10, 2020, and follows a … and imposed permanent registration and trading bans. [See CFTC Press Release No. 8245-20 ]. Today’s order requires …
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Federal Court Enters More than $2 Million Judgment against Grand Island, Nebraska, Resident Who Controlled International Fraudulent Scheme
… Ruling Follows a Jury Trial and a Liability Verdict on All CFTC Charges Washington, DC – The Commodity Futures Trading Commission (CFTC) today announced that the Honorable Joan B. Gottschall …
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Federal Court Orders Scott Platto and His Company The Yorkshire Group, Inc. to Pay More Than $1.56 Million for Engaging in Illegal, Off-Exchange Precious Metals Transactions
… DC – The U.S. Commodity Futures Trading Commission (CFTC) obtained a federal court default judgment Order … and its principal Scott Platto . The Order stems from a CFTC Complaint, filed on September 25, 2013, that charged … customers on a leveraged, margined or financed basis (see CFTC Complaint and Press Release 6713-13 , September 26, …
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21-21
… Swap Dealer to use Models to Compute Credit Risk Capital Charges In Lieu of Standardized Charges.  ( NGFP No-Action Request ) …
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21-22
… use Models to Compute Market Risk and Credit Risk Capital Charges In Lieu of Standardized Charges ( JFSI No-Action Request ) …
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Statement of Commissioner Kristin N. Johnson: Let’s Stop Forex Ponzi Schemes
… Today, the Commodity Futures Trading Commission (CFTC or Commission) announced that it filed proposed Consent … they will be barred from trading and registration with the CFTC. Investor education and enforcement actions are … of our colleagues at the DOJ, which is pursuing criminal charges against Singh. [1] CFTC Release No. 8246-20, CFTC …
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Federal Court Orders Digital Asset Derivatives Platform and Florida Resident to Pay More than $15 Million for Multiple Violations of the Commodity Exchange Act
… a designated contract market, failed to register with the CFTC, and failed to implement a customer information … The order bans Todd and his companies from trading in any CFTC-regulated markets or registering with the CFTC. It also … of a commodity in interstate commerce and other charges. The CFTC cautions that orders requiring payment of …
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2012-14654
… The Commodity Futures Trading Commission (Commission or CFTC) is proposing regulations that would make clear that … Web Site, via its Comments Online process: http://comments.cftc.gov. Follow the instructions on the Web site for … translation. Comments will be posted as received to www.cftc.gov and the information you submit will be publicly …
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Statement of Commissioner Caroline D. Pham in Support of Proposed Amendments to Capital and Financial Reporting Requirements for Swap Dealers and Major Swap Participants
… and concerns. It is important to remember that most of the CFTC’s provisionally-registered swap dealers are subject to three or more regulatory regimes. [1] Of the CFTC’s 106 currently provisionally registered swap dealers, … “US Basel Endgame Hits Clearing with Op Risk Capital Charges” Risk.net (Sept. 25, 2023), …
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