Futures Commission Merchant

Interactive Brokers LLC to pay more than $12 million for AML and Supervision violations

17/08/2020(0)

The Commodity Futures Trading Commission (CFTC) filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant (FCM), for failing to diligently supervise its officers’, employees’, ... Read More

Merrill Lynch building is shown in downtown San Diego, California

Merrill Lynch to pay millions for supervision failures

25/09/2017(0)

The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Merrill, Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), a registered Futures Commission ... Read More

CFTC orders Futures Commission Merchant and its controller to pay a $150,000 Penalty

10/05/2016(0)

Cunningham also Penalized for its Failure to Immediately Report a Customer Residual Account Deficiency and for its Failure to Report Special Account Positions Held by Large Traders The U.S. ... Read More

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Futures Commission Merchant

Interactive Brokers LLC to pay more than $12 million for AML and Supervision violations

Merrill Lynch to pay millions for supervision failures

CFTC orders Futures Commission Merchant and its controller to pay a $150,000 Penalty

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ESMA presents methodology for climate risk stress testing and analysis of the financial impact of greenwashing controversies

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