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Swap Dealer

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Swap dealer ordered to pay a $900,000 fine

06/11/2018(0)
National Futures Association (NFA), a self-regulatory organization for the U.S. derivatives industry, has issued a press release to inform that has decided to order New York, NY swap dealer ... Read More
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Citibank and Citigroup Global Markets Limited to pay hundreds of thousands dollars penalty

26/09/2017(0)
The U.S. Commodity Futures Trading Commission (CFTC) issued an Order filing and simultaneously settling charges against Citibank, N.A. (CBNA) and Citigroup Global Markets Limited (CGML) (collectively, Citi), for failing to ... Read More
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CFTC Orders Citigroup Global Markets to Pay $25 Million

20/01/2017(0)
CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures Five Traders at Citigroup Global Markets Inc. ... Read More
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CFTC approved rules for swap dealer and major swap participant minimum capital requirements

05/12/2016(0)
The U.S. Commodity Futures Trading Commission (CFTC) today unanimously approved proposed rules establishing swap dealer (SDs) and major swap participant (MSPs) minimum capital requirements. As required by the Dodd ... Read More
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GAIN Capital Announces Monthly Metrics for August 2016

12/09/2016(0)
GAIN Capital Holdings, Inc. (NYSE: GCAP) (“GAIN” or “the Company”) today reported certain operating metrics for the month of August 2016. Retail Segment Metrics OTC average daily volume1 of $8.3 billion, a ... Read More
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GTX announced it has hired two senior sales executives for its registered swap dealer

24/05/2016(0)
GTX, the institutional foreign exchange trading arm of GAIN Capital Holdings Inc., announced today it has hired two senior sales executives for its registered swap dealer, which provides agency ... Read More
cftc

CFTC Orders Swap Dealer to Pay $200,000

20/08/2015(0)
CFTC Orders Swap Dealer INTL FCStone Markets, LLC to Pay a $200,000 Civil Monetary Penalty for Failure to Supervise Swaps Trading in Violation of CFTC Regulation 23.602 The U.S. ... Read More
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