CFTC

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$76 Million penalties for Forex Ponzi Scheme

03/08/2015(0)
In Related Criminal Actions, Simmons Sentenced to 40 Years’ and Salazar Sentenced to 4.5 Years’ Incarceration and Ordered to Pay in Total $40 Million in Criminal Restitution Both Simmons ... Read More
onestopbrokers-Regulators

Study: Penalties Levied by Financial Watchdogs Spiked in 2014

02/07/2015(0)
Financial regulators in the United States, United Kingdom, and Hong Kong have decreased their agency expenditures but increased the penalties they’ve levied, according to a new report by regulatory, ... Read More
isda

Winners and losers emerge from fragmented FX swap rules

30/06/2015(0)
The International Swaps and Derivatives Association (ISDA) has frequently warned that market fragmentation will continue and market transparency will be damaged as US and European regulators fail to reconcile ... Read More
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CFTC Issues Proposed Rule on Cross-Border Margin

30/06/2015(0)
The U.S. Commodity Futures Trading Commission (Commission) today voted unanimously to propose a rule that would apply the Commission’s margin requirements for uncleared swaps in the context of cross-border ... Read More
CME Group

CME Group Delays Closure of Open Outcry Futures Trading in Chicago and New York

24/06/2015(0)
Due to a technical revision to its filing with the CFTC, CME Group today announced that it will delay the closing of its futures pits in Chicago and New York.  Previously ... Read More
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CFTC Staff Announces it is Issuing No-Action Relief from Introducing Broker and Commodity Trading Advisor

08/06/2015(0)
CFTC Staff Announces it is Issuing No-Action Relief from Introducing Broker and Commodity Trading Advisor Registration to Persons Located Outside the United States Engaged in Activities on behalf of ... Read More
cftc

Barclays to Pay $400 Million Penalty to Settle CFTC Charges

21/05/2015(0)
CFTC Also Took Action Today Against Barclays and its Affiliates for Attempted Manipulation and False Reporting of the ISDAFIX Benchmark, an Interest Rate Benchmark — the First Enforcement Action ... Read More
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CFTC Releases Final Interpretation on Forward Contracts with Embedded Volumetric Optionality

13/05/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) today released its Final Interpretation on Forward Contracts with Embedded Volumetric Optionality. The interpretation identifies when an agreement, contract, or transaction would ... Read More
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CFTC Sanctions FCStone, LLC for Supervision Violations

04/05/2015(0)
Firm Ordered to Pay $140,000 Civil Penalty The U.S. Commodity Futures Trading Commission (CFTC) entered an Order filing and simultaneously settling charges against FCStone, LLC, a CFTC-registered Futures Commission ... Read More
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Federal court in Florida issued a Consent Order against Inter-Global Currency & Precious Metals and its owner

28/04/2015(0)
The U.S. Commodity Futures Trading Commission (CFTC) today announced that a federal court in Ft. Lauderdale, Florida issued a Consent Order against Defendants Inter-Global Currency & Precious Metals, LLC (IGCPM) of ... Read More
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