Search Results for: Commodity Futures Trading Commission
CFTC Issues an Exemption to the Korea Exchange Permitting Designated Korea Exchange Members to Deal Directly with U.S. Customers
February 9th, 2016
The Commodity Futures Trading Commission (CFTC) today issued an Order to the Korea Exchange (KRX) permitting certain KRX Members to solicit and accept orders and in connection therewith, accept funds directly from U.S. customers for trading on KRX without ...
Gold hits new 3-month high on global economy concerns
February 8th, 2016
Gold hit three-month highs on Monday, extending its biggest weekly rise since July 2013 as sliding stock markets, global growth uncertainty and a softer dollar prompted investors to seek safety in hard assets. Spot gold reached a peak of ...
Oil Trades Near $31 After Saudi-Venezuela Talks as Bets Increase
February 8th, 2016
Al-Naimi speaks with counterpart about other producer meetings Vitol CEO says crude to stay between $40 and $60 for 10 years Oil traded near $31 a barrel after Saudi Arabia and Venezuela met to discuss cooperating to stabilize the ...
Federal Court fined individual for Forex Fraud
February 5th, 2016
The U.S. Commodity Futures Trading Commission (CFTC) has issued an announcement to inform that Federal Court in Florida Orders Restitution, a Civil Monetary Penalty, and Permanent Injunction against Robert Tripode for Engaging in Fraud in Connection with Forex. The ...
CFTC Charges Financial services Firm
February 4th, 2016
CFTC Charges Florida-Based Oakmont Financial, Inc. and Joseph Charles DiCrisci with Engaging in Illegal, Off-Exchange Precious Metals Transactions The U.S. Commodity Futures Trading Commission (CFTC) filed a civil injunctive enforcement action in the U.S. District Court for the Southern ...
CFTC signed MOU with BaFin and Bundesbank to enhance supervision of cross-border clearing organizations
January 28th, 2016
The U.S. Commodity Futures Trading Commission (CFTC) announced that CFTC Chairman Timothy Massad signed a Memorandum of Understanding (MOU) with the Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank (Bundesbank) regarding cooperation and the exchange of information in the supervision ...
CFTC Grants Registration to 18 Swap Execution Facilities
January 25th, 2016
The U.S. Commodity Futures Trading Commission (CFTC) today issued Orders granting registration to 18 swap execution facilities (SEFs). The SEFs issued a Registration Order today previously were operating under temporary registration status. SEFs are trading facilities that operate under ...
CFTC Launches Whistleblower Program’s Website
January 22nd, 2016
New Website Improves Public Interface and Allows Users to Submit Tips and Apply for Monetary Awards The U.S. Commodity Futures Trading Commission (CFTC) today launched the CFTC Whistleblower Program’s new website, www.whistleblower.gov. The new website provides an improved interface that ...
SEC: Alternative Fund Manager Overcharged Fees, Misled Investors
January 20th, 2016
The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how it valued certain assets. An SEC investigation found that Equinox ...
KPMG withdraws audit opinions on CFTC over accounting error
January 20th, 2016
The U.S. regulator that polices the complex derivatives markets is struggling to keep its own books in order and has made a material error that its auditor found so significant that it withdrew nearly a decade of its financial ...
