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Keynote Remarks of Chairman Timothy Massad at SEFCON VII
… We’ve been at the forefront in bringing actions against spoofing and other forms of manipulation resulting from … and it was. We’ve been at the cutting edge of issues like spoofing and benchmark manipulation, we’ve protected retail …
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Opening Statement, Third Series of Proposed Rulemakings Under the Dodd-Frank Act
… as to how the Commission will interpret the language on spoofing or trading in the close. As a result, it is …
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Joint Statement of Concurrence of Commissioners Dawn D. Stump and Rostin Behnam Regarding JPMorgan Chase & Co., et al.
… findings that the Respondents engaged in unlawful spoofing, manipulation, and attempted manipulation in …
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CFTC Orders UBS to Pay $700 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation and False Reporting of LIBOR and Other Benchmark Interest Rates
...December 19, 2012CFTC Orders UBS to Pay $700 Million Penalty to Settle Charges of Manipulation, Attempted Manipulation and False Reporting of LIBOR and Other Benchmark Interest RatesWashington, DC – The U.S. Commodity Futures Trading Commission (“CFTC”) announced an Order today against UBS AG and UBS Securities Japan Co., Ltd. (together “UBS” or the “Bank”), bringing and settling charges of…
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Statement of Commissioner Kristin N. Johnson Regarding Effectively Calibrating CFTC Civil Money Penalties to Deter Repeated Compliance Failures
… HSBC for Fraudulent and Manipulative Swaps Trading and Spoofing, and for Recordkeeping and Supervision Failures, …
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Testimony of Chairman J. Christopher Giancarlo before the Senate Committee On Appropriations Subcommittee on Financial Services and General Government, Washington, D.C.
… numerous significant actions to root out manipulation and spoofing and to protect retail investors from fraud.   The … complex litigation, including cases charging manipulation, spoofing, and unlawful use of customer funds. As of this … in jail. In January 2018, the CFTC filed manipulation and spoofing cases against six individuals in coordination with …
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Opening Remarks of Commissioner Kristin N. Johnson at FIA L&C Panel: Futureproofing Financial Markets: AI and Derivatives Markets
… In entering a Consent Order, under which Sarao admitted to spoofing and manipulation in violation of the CEA, the court … Nav Sarao Futures Limited PLC with Price Manipulation and Spoofing (Apr. 21, 2015),  …
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Testimony of Chairman Timothy G. Massad before the U.S. Senate Committee on Appropriations, Subcommittee on Financial Services and General Government
… of new, complicated forms of illegal behavior, such as spoofing. The CFTC must have the necessary resources to … pools. For example, a recent case involving alleged spoofing in connection with the May 2010 “Flash Crash” took …
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Keynote Address of Chairman Timothy G. Massad before the Beer Institute Annual Meeting
… LIBOR. We have brought actions against those who engage in spoofing, one of the newer forms of attempted manipulation. …
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Testimony before the Senate Committee on Banking, Housing, and Urban Affairs, Subcommittee on Securities, Insurance, and Investment and Senate Committee on Homeland Security and Governmental Affairs, Permanent Subcommittee on Investigations
… execution of transactions during the closing period; and 3) spoofing (bidding or offering with the intent to cancel the …
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