Displaying results 11 - 20 of 90

CFTC and the China Securities Regulatory Commission Sign Arrangement for Enhanced Cooperation and Collaboration

… between our respective countries, including the CFTC’s training programs in the areas of intermediary oversight, … also welcomes the CFTC’s continuing efforts in providing training and technical assistance to the CSRC. Today’s … involving cross-border derivatives trading Expand the training and technical assistance programs presently in …

Federal Court in Illinois Orders Defendants Richard C. Regan and Pro Trading Course, LLC to Pay More than $600,000 in Restitution and Civil Monetary Penalties to Settle CFTC Anti-Fraud Action

… members of the public to enroll in a commodity futures training program (see CFTC Press Release 6155-11 ). The … opportunity and profit potential of PTC’s commodity futures training program. The defendants also failed to disclose … that not one of the 126 clients who completed PTC’s training and became PTC proprietary traders ever advanced …

CFTC Charges Utah Resident Kimball Parker and Florida Resident Timothy Baggett with Fraud and Other Violations in Connection with Offering and Selling a Futures Trading System

… testimonials, as required under CFTC Regulations. The Live Training Room According to the Complaint, Defendants furthered their deception by setting up a “live training room” where customers could “‘look over the … in reality, most – if not all – of the trading in the live training room occurred in a simulated account, which would …

CFTC Enters into Non-Prosecution Agreements with Former Citigroup Global Markets Inc. Traders Jeremy Lao, Daniel Liao, and Shlomo Salant

… and cash products. During his approximately six weeks of training in New York, Liao was instructed to sit adjacent to … questions about their trading. He spent substantial time training with the head trader on the desk and another senior …

CFTC Charges Andre Flotron with Spoofing and Engaging in a Deceptive and Manipulative Scheme in the Precious Metals Futures Markets

… to train another trader at Bank A. In the course of this training, Flotron taught the other trader how to spoof. In …

CFTC Orders Infinity Futures LLC, an Introducing Broker, to Pay $340,000 for Supervision Violations

… hiring an outside compliance consulting firm to assist in training staff and reviewing and updating its current …

CFTC Sends Delegation to China to Provide Technical Assistance to the China Securities Regulatory Commission

… futures contracts. The delegation which is conducting training at the National Accounting Institute in Beijing, … exchange representatives and industry professionals. The training will focus on the following: • Financial product …

CFTC Orders Merrill Lynch to Pay $1.2 Million Fine for Supervision Failures

… flawed.” Merrill Lynch also did not provide any meaningful training to employees regarding how to conduct fee … include, hiring an outside consulting firm to assist in training staff and reviewing and updating its current …

CFTC Orders Cargill de México SA De CV to Pay $500,000 for Unlawfully Executing Wash Sales on the CBOT and KCBT

… First, the Order requires Cargill de México to conduct training for certain personnel addressing the ethics, … (ii) that Cargill de México has conducted certain training sessions for relevant personnel, and (iii) that …

Chicago Futures Commission Merchant Tenco, Inc. Settles CFTC Charges that it Failed to Diligently Supervise and Placed Trades Without Proper Authorization

… penalty, requires Tenco to implement compliance and training programs to detect and prevent violations, and …