December 15, 2019
Washington, DC –CFTC Charges New Mexico Resident with Fraud in Long-Running Ponzi Scheme. The U.S. Commodity Futures Trading Commission today announced it has filed a civil enforcement action in the …
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December 6, 2019
Washington, DC — U.S. Commodity Futures Trading Commission Commissioner Rostin Behnam today announced the creation of the Central Counterparty (CCP) Risk and Governance and Market Structure Subcommittees (Subcommittees) from the …
December 5, 2019
Canadian Dollar Climbs, BOC Keeps Rates Unchanged, Pound Rallies
December 4, 2019
Bond Yields Plunge, RBA Holds Steady, Aussie Advances
December 2, 2019
Washington, DC – The U.S. Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against Goldman Sachs & Co. LLC for recordkeeping violations as required under …
Continue reading “CFTC Orders Goldman Sachs to Pay $1 Million for Recordkeeping Violations”
December 1, 2019
Washington, DC — The U.S. Commodity Futures Trading Commission’s Division of Enforcement (DOE) today issued its Fiscal Year (FY) 2019 Annual Report. The second annual report highlights the division’s success …
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November 30, 2019
Washington, DC – The U.S. Commodity Futures Trading Commission today issued an order filing and simultaneously settling charges against BGC Financial, L.P., a futures industry voice broker and registered futures …
November 28, 2019
Investigating spoofing has become a greater priority in the Commodities Futures Trading Commission (CFTC) under President Trump. The CFTC Department of Enforcement (DOE) recently published its 2019 Annual Report; the …
November 23, 2019
ICYMI: fintech regulation needs more principles, not more rules. These are exciting times for our derivatives markets. From blockchain to digital assets, innovative financial technologies are changing the way derivatives …
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