Displaying results 91 - 100 of 394
CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise
… their policies and procedures and providing appropriate training to officers and employees regarding the CEA’s …
CFTC Orders Eagle Market Makers Inc. to Pay over $223,000 in Penalties and Disgorgement to Settle Charges of Violating Corn Futures Speculative Position Limits and Failing to Supervise Traders
… limits. According to the order, Eagle never conducted any training of its traders with respect to speculative position …
CFTC Orders HSBC Securities (USA) Inc. Pay $1.6 Million Penalty for Spoofing In the Precious Metals Futures Markets
… to take specified steps to implement and strengthen their training, systems, and controls to detect and deter spoofing …
2019-08395
… and event management tools for outreach, education, and training events; and, (4) correspond with individuals who … CFTC staff are required to take annual privacy and security training. Technical security measures within CFTC include …
California Court Orders Gilbert Philip Castillo, Jr. and Castle Enterprise Corporation to Pay More than $800,000 in Disgorgement and $480,000 in Civil Penalties for Fraud by an Unregistered Commodity Trading Advisor
… services for managed account programs, trading systems, and training courses. These commodity advisory services …
CFTC Orders Barclays Capital, Inc. to Pay $800,000 for Supervision Failures
... August 4, 2016 CFTC Orders Barclays Capital, Inc. to Pay $800,000 for Supervision Failures Firm’s Supervisory Failures over Exchange and Clearing Fee Processing Led to Customer Overcharges at Times Washington, DC – The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Barclays Capital, Inc. (Barclays), a…
CFTC Finds that The Bank of Tokyo-Mitsubishi UFJ, Ltd. Engaged in Spoofing of Treasury Futures and Eurodollar Futures
… finds that BTMU revised its policies, updated its training, and implemented electronic systems to identify …
CFTC Sanctions Rosenthal Collins Group for Supervision Violations
… Finally, the Order finds that RCG did not provide adequate training on its company policies to this Memphis office …
CFTC Charges California Resident Gilbert Philip Castillo, Jr., and His Company, Castle Enterprise Corporation, with Fraud
… clients were abandoned after purchasing trading systems or training courses, receiving little or nothing of value and …
Keynote of Commissioner Christy Goldsmith Romero on The Power of Representation and Financial Inclusion in the American Dream
… I look across this room at all of the knowledge, training and experience that you have to help others build …