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CFTC

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CFTC Charges Financial services Firm

04/02/2016(0)
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 ... Read More
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CFTC signed MOU with BaFin and Bundesbank to enhance supervision of cross-border clearing organizations

28/01/2016(0)
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) ... Read More
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CFTC Grants Registration to 18 Swap Execution Facilities

25/01/2016(0)
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 ... Read More
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CFTC Launches Whistleblower Program’s Website

22/01/2016(0)
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 ... Read More
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KPMG withdraws audit opinions on CFTC over accounting error

20/01/2016(0)
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 ... Read More
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CFTC orders a London based financial services company to Pay a Civil Monetary Penalty

14/01/2016(0)
CFTC Orders Otkritie Capital International, Ltd. to Pay a $140,000 Civil Monetary Penalty for Violating a CFTC Registration Regulation The U.S. Commodity Futures Trading Commission (CFTC) issued an Order ... Read More
SFC - Hong Kong

SFC signs MoU with CFTC to enhance supervision of Cross-Border Regulated Entities

29/12/2015(0)
The Securities and Futures Commission (SFC) has entered into a memorandum of understanding (MoU) with the U.S. Commodity Futures Trading Commission (CFTC) regarding cooperation and the exchange of information ... Read More
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J.P. Morgan to Pay $267 Million for Disclosure Failures

21/12/2015(0)
The Securities and Exchange Commission announced that two J.P. Morgan wealth management subsidiaries have agreed to pay $267 million and admit wrongdoing to settle charges that they failed to disclose ... Read More
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CFTC fined individual for $1.9 Million on customer funds fraud

14/12/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced that the Honorable Harry D. Leinenweber of the U.S. District Court for the Northern District of Illinois entered a Consent ... Read More
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CFTC fines individual and Forex Trading Advisors Firms

08/12/2015(0)
CFTC Finds that Respondents Made False Statements to the CFTC, Committed Foreign Currency Solicitation Fraud, and Failed to Register with the CFTC The U.S. Commodity Futures Trading Commission (CFTC) ... Read More
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