Displaying results 61 - 70 of 392
System of Record Notices
… employment references and contact information; educational/training institutions attended, degrees and certifications earned; and educational and training references. 5. Information needed to investigate an … Persons given roles in the PIV process must complete training specific to their roles to ensure they are …
“Policy Buffets: Plating-Up Efficient and Effective Financial Markets”
… quote: “as an industry, we need to improve upset recovery training.” The same is true in markets. We need to improve our “upset recovery training” with regard to algos and cheetahs. Massive …
Keynote Address before the University of Houston Global Energy Management Institutes' 5th Annual Trading and Marketing Conference: It's a Matter of Principles
… any tool, principles-based regulation also requires proper training and maintenance. We may have traded in a Model T … Adopting a principles-based approach requires significant training of staff who may have worked for many years under … and this can lead to a regulatory impasse. But with proper training and assurance from leadership, most CFTC staff have …
Equal Employment Opportunity Data Posted Pursuant to the No FEAR Act:
… of Employment* 0 0 0 1 0 0 Time and Attendance 0 0 0 0 0 0 Training 0 0 0 1 0 0 Other Terms/Conditions of Employment* 0 … 0 0 0 0 0 0 0 0 Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0 Training 0 0 0 0 0 0 0 0 0 0 0 0 Other Terms/Conditions of … 0 0 0 0 0 0 0 0 Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0 Training 0 0 0 0 0 0 0 0 0 0 0 0 Other Terms/Conditions of …
CFTC Orders North Carolina Man and His Company to Pay $2.6 Million for Fraudulent Solicitation, Pool Fraud, and Failure to Register
… also provided client testimonials and depicted training videos created using “demo” trading accounts … the fraudulent solicitations for binary options signals, trainings, and strategy course offerings. The CFTC thanks …
Federal Court Orders California Precious Metals Firm and Its Owners to Pay $38 Million for Commodity Fraud and Registration Violations
...Washington, D.C. — The Commodity Futures Trading Commission today announced the U.S. District Court for the Central District of California entered a consent order for permanent injunction, monetary sanctions, and equitable relief against Monex Deposit Company, Monex Credit Company, Newport Services Corporation, and their owners Louis Carabini and Michael Carabini. The order requires the…
CFTC Reports
… The Commission may seek Federal court injunctions, restraining orders, asset freezes, receiver appointments, and … program, requiring testing, licensing, and ethics training for commodities professionals. CFTC maintains a … expansion to other offices within the Commission. Upgrade training for Enforcement investigators. Expert enforcement …
Equal Employment Opportunity Data Posted Pursuant to the No Fear Act
… of Employment* 0 0 1 0 0 0 Time and Attendance 0 0 0 0 0 0 Training  0  0  1  0  0  0 Other Terms/Conditions of … 0 0  0 0 0 0 0 Time and Attendance 0 0  0 0 0 0 0 0 0 0 0 0 Training 0 0 0 0 0  0 0 0 0 0 0 0 Other Terms/Conditions of … 0 0 0 0 0 0 0 0 Time and Attendance 0 0 0 0 0 0 0 0 0 0 0 0 Training 0 0 0 0 0 0 0 0 0 0 0 0 Other Terms/Conditions of …
Address by Chairman James E. Newsome at the Winter Meeting of the American Bar Association, Committee on Futures and Derivatives Instruments, Key West, Florida
… better than others at making this obligation clear through training manuals, written procedures and ethics guidelines. … every SRO to review its policies and procedures, employee training efforts, and day-to-day practices to ensure that …
CFTC Organization
… assistance to foreign market authorities, including advice, training, and an annual meeting and symposium. Office of … assistance to foreign market authorities, including advice, training, and an annual meeting and symposium. Office of …