Displaying results 71 - 80 of 90
CFTC Files Eight Anti-Spoofing Enforcement Actions against Three Banks (Deutsche Bank, HSBC & UBS) & Six Individuals
… to take specified steps to implement and strengthen their training, systems, and controls to detect and deter spoofing …
CFTC Approves Two Proposals and a DCO Application
… – supported by broad requirements relating to governance, training, testing, and recordkeeping. The proposed rule …
CFTC Orders Five Banks to Pay over $1.4 Billion in Penalties for Attempted Manipulation of Foreign Exchange Benchmark Rates
… the Banks lacked sufficient policies, procedures and training specifically governing participation in trading …
CFTC Orders Interdealer Broker to Pay $13 Million for Supervisory Failures and False Statements
… information disclosed; and Implementing annual and new-hire training and certification of brokers on the desk.   The …
CFTC Charges Two Commodity Traders with Attempted Manipulation of Agricultural Markets
...September 26, 2018 CFTC Charges Two Commodity Traders with Attempted Manipulation of Agricultural Markets Washington, DC — The Commodity Futures Trading Commission (CFTC) today issued an Order against Adam Flavin (Flavin) and an Order against Peter Grady (Grady), traders at a Commodity Merchandising Firm, filing and settling charges for their attempted manipulation of the price of…
Rabobank to Pay $475 Million Penalty to Settle Manipulation and False Reporting Charges Related to LIBOR and Euribor
... October 29, 2013 Rabobank to Pay $475 Million Penalty to Settle Manipulation and False Reporting Charges Related to LIBOR and Euribor CFTC Order Finds that for…
CFTC Charges ICAP Europe Limited, a Subsidiary of ICAP plc, with Manipulation and Attempted Manipulation of Yen Libor
… audio communications; • Implement auditing, monitoring and training measures; • Report to the CFTC on its compliance …
CFTC Orders Interactive Brokers LLC to Pay More Than $12 Million for Anti-Money Laundering and Supervision Violations
… in internal controls, policies, procedures, systems, and training. Related Civil Enforcement Actions The Securities …
CFTC Orders Barclays to pay $200 Million Penalty for Attempted Manipulation of and False Reporting concerning LIBOR and Euribor Benchmark Interest Rates
… relevant communications; Implement auditing, monitoring and training measures concerning its submissions and related …
CFTC Orders Two Trading Firms, Bank to Pay a Total of $3 Million for Spoofing 
… and to take specified steps to implement and strengthen its training, systems, and controls to detect and deter spoofing …