Displaying results 81 - 90 of 90
Joint Effort Launches to Warn Retirees about Precious Metals Fraud and Gives Tips on Protecting Themselves
… broker-dealer personnel and offers them education and training, and informs the investing public. In addition, …
CFTC Wins Fraud Trial against Hunter Wise Related Precious Metals Firms and Their Owners
… As explained in the Order, using marketing materials and training provided to them by Jager, Martin and other Hunter …
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
… communications; • Implement auditing, monitoring and training measures concerning its submissions and related …
Barclays to Pay $400 Million Penalty to Settle CFTC Charges of Attempted Manipulation and False Reporting of Foreign Exchange Benchmark Rates
… Barclays lacked sufficient policies, procedures and training specifically governing participation in trading and …
CFTC Issues Customer Advisory on COVID-19
… or binary-option signal schemes, or overpriced training programs often play off this bias. Sunk cost bias . …
New CFTC Customer Advisory Cautions the Public to Beware of Trading Based on Internet Hype
… Futures and Options Trading   Before you pay for classes or training software, you may find that it is useful to tap …
CFTC Orders Société Générale S.A. to Pay $475 Million Penalty to Resolve Charges of Manipulation, Attempted Manipulation, and False Reporting of LIBOR and Euribor
… markets.  Société Générale’s failure to provide internal training or implement standards around its LIBOR and Euribor …
CFTC Charges RP Martin Holdings Limited and Its Subsidiary, Martin Brokers (UK) Limited, with Manipulation and Attempted Manipulation of Yen Libor
… audio communications; • Implement auditing, monitoring and training measures; • Report to the CFTC on its compliance …
CFTC Customer Advisory Encourages Older Adults to Stay Alert and Share Information About Fraud
...Washington, D.C. — The Commodity Futures Trading Commission’s Office of Customer Education and Outreach today issued the customer advisory, Be Alert and Share Information to Help Seniors Avoid Fraud, in recognition of World Elder Abuse Awareness Day. The advisory encourages older adults to stay alert to fraud—especially on social media—and to share information that could help others avoid…
CFTC Releases Annual Enforcement Results for Fiscal Year 2015
... November 6, 2015 CFTC Releases Annual Enforcement Results for Fiscal Year 2015 Agency Filed 69 Enforcement Cases and Achieved a Record $3.14 Billion in Civil Monetary Penalties Ordered Washington, DC - The U.S. Commodity Futures Trading Commission (CFTC) today released the agency’s enforcement results for fiscal year (FY) 2015, which included a record $3.144 billion in…