Displaying results 251 - 260 of 396
The Dodd-Frank Holiday Season
... The Dodd-Frank Holiday Season Commissioner Scott D. O’Malia Before AICPA / SIFMA FMS Conference On The Securities Industry, New York, NY November 30, 2012 Thank you for that kind introduction. As everyone is well aware, the holiday season is upon us. In addition to reconnecting…
History of the CFTC
… requiring the registration of floor brokers and ethics training for all individual registrants, as mandated by the … requiring the registration of floor brokers and ethics training for all individual registrants, as mandated by the …
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 …
Dissenting Statement of Commissioner Caroline D. Pham on Examination by Enforcement
… programs.  Bank examiners undergo years of specialized training and certification, and often have more than a …
2023-07030
… written policies, standards, and procedures reinforced by training and  periodic auditing. Technical security …
Statement of Acting Chairman Rostin Behnam at the Open Session of the Meeting of the Financial Stability Oversight Council
...I wish to thank Secretary Yellen and FSOC members for the opportunity to provide some brief remarks.  I’d also like to thank Vice Chair Quarles for his remarks and for his and the Federal Reserve’s work on the transition away from LIBOR.  Earlier this week, I spoke at length at the SOFR Symposium—sponsored by the Alternative Reference Rates Committee (or ARRC) and the NY FED—about…
2018-24642
… Requirements     d. Sec.  37.201(c)(4)--Ethics Training     (1) Guidance to Core Principle 2 in Appendix B--Ethics Training     e. Sec.  37.201(c)(5)--Standards of Conduct     … SEFs to adopt minimum proficiency testing and ethics training requirements to ensure that their trading …
Remarks of Commissioner Mark P. Wetjen before the Global Derivatives Trading & Risk Management Conference, Amsterdam, The Netherlands
… to this joint effort, with the goal of expediting the training of CFTC staff and building up the agency’s …
"Space Between Walls"
... "Space Between Walls" Speech by Commissioner Bart Chilton to the Finance, Credit and International Business Association International Credit Executives Conference, Chicago, IL May 3, 2012 Introduction Thanks to Rick Hayes for that great introduction.  Aside from Russian…
Remarks of Chairman Timothy Massad Before the Economic Club of New York
… it is infrastructure financing, tax reform, job training, and immigration reform. Let us therefore not spend …