Displaying results 111 - 120 of 395
CFTC Sanctions ConAgra Trade Group, Inc. $12 Million for Causing a Non-Bona Fide Price to Be Reported in the NYMEX Crude Oil Futures Contract
… Committee of the Board and providing enhanced compliance training. The CFTC thanks the NYMEX for its assistance with …
CFTC Orders Deutsche Bank to Pay $30 Million Penalty for Manipulation, Attempted Manipulation, and Spoofing In the Precious Metals Futures Markets
… and to take specified steps to maintain and implement training programs and systems and controls to detect and …
Northern California District Court Orders Defendants in a San Francisco Foreign Currency (Forex) Fraud Action to Pay Over $2 Million in Restitution and Civil Penalties
… Zhou, and others, provided persons responding to the ads training on how to trade foreign currency and solicited …
CFTC Finds That Commodity Trading Advisor Misled Public About Commodity Options Trading System
… The Optioneer System , which included hardware, software, training, technical support, monthly data, and market …
If You See Something, Say Something: Remarks by Commissioner Caroline D. Pham at the NYU Law Program on Corporate Compliance and Enforcement Fall Conference
… was something that Compliance officers repeated in so many trainings and so many refreshers. When in doubt, if you see …
Speech before American Bar Association: Recent CFTC Projects and the Year Ahead
… must have the tools – and, just as importantly, the training – to assure that they can properly protect their … up relationships with its counterparts overseas to provide training and technical assistance. In just the past several …
2023-07029
… operations of the CFTC); and OIG personnel (such as staff training  records and conflict of interest certifications … sufficient to justify permanent retention. The OIG staff  training and related records are destroyed six years after …
Testimony of Commissioner James E. Newsome, before the U.S. House of Representatives Committee on Appropriations, Subcommittee on Agriculture, Rural Development, FDA and Related Agencies
… of restitution. The Commission also may obtain temporary restraining orders and preliminary and permanent injunctions in … temporary relief on an  ex parte  basis including restraining orders preserving books and records, freezing …
07-879
... Commodity Futures Trading Commission Agency Information Collection Activities Under OMB Review[Federal Register: February 27, 2007 (Volume 72, Number 38)] [Notices] [Page 8696] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr27fe07-42…
07-5184
... [Federal Register: October 22, 2007 (Volume 72, Number 203)] [Notices] [Page 59514-59515] From the Federal Register Online via GPO Access [wais.access.gpo.gov] [DOCID:fr22oc07-36…