Displaying results 61 - 70 of 71
Guest Lecture of Commissioner J. Christopher Giancarlo, Harvard Law School, Fidelity Guest Lecture Series on International Finance
… 64 Callum Tanner , Illiquidity Worries U.K. Insurers in Forex Hedging Switch , Insurance Risk , Aug. 24, 2015, … ance-risk/feature/2422999/illiquidity-worries-uk-insurers-in-forex-hedging-switch. 65 See Bank for Int’l Settlements, …
Written Testimony of Chairman J. Christopher Giancarlo before the Senate Banking Committee
… February 2017, the CFTC filed and settled charges against Forex Capital Markets LLC for $7 million for defrauding …
Keynote Speech of Commissioner Kristin N. Johnson at the Salzburg Global Finance Forum
… futures contracts, or retail off-exchange foreign exchange (forex) contracts or swaps, in exchange for commission or …
Testimony of Commissioner J. Christopher Giancarlo before the U.S. House Committee on Agriculture, Subcommittee on Commodity Exchanges, Energy, and Credit
… and Angela Chen, Jefferies to Sell Bache Futures Unit, Buy Forex Ops , Wall Street Journal, Apr. 9, 2015, available at … ww.wsj.com/articles/jefferies-to-sell-bache-futures-unit-buy-forex-ops-1428582402. 7 Alexander Osipovich, US …
Keynote Address of Director of Enforcement James M. McDonald at the Practising Law Institute's White Collar Crime 2019 Program
… . [8] See Press Release 7915-19, CFTC Charges Forex Trading Firms and Principals in $75 million Fraud, at …
Keynote Address of Commissioner Kristin Johnson at UC Berkeley Law Crypto Regulation Virtual Conference
… losses.  In reality, however, MTI never profitably traded forex.  In fact, MTI simply converted new investors deposits …
Written Testimony of Chairman J. Christopher Giancarlo before the U.S. Senate Agriculture, Nutrition, and Forestry Committee
… February 2017, the CFTC filed and settled charges against Forex Capital Markets LLC for $7 million for defrauding …
Remarks of Commissioner Dawn D. Stump Before Texas A&M’s Bitcoin Conference
… (March 26, 2021) (citing a senior market analyst at a forex trading company), available here . [14] By contrast, …
Speech of Enforcement Director James M. McDonald Regarding Enforcement trends at the CFTC, NYU School of Law: Program on Corporate Compliance & Enforcement
… in some of these traditional areas, like precious metals, forex, and binary options.   But this last Fiscal Year, we …
Keynote of Commissioner Rostin Behnam at the FIA 40th Annual Law & Compliance Division Conference on the Regulation of Futures, Derivatives and OTC Products, Washington, DC
… that associated persons (APs) engaged in futures and forex activities must take and pass proficiency examinations …