All Commodity Futures Trading Commission articles

  • Fraud
    Article

    CFTC orders chief compliance officer to pay $150K for fraud

    2019-09-13T15:44:00Z

    The CFTC has ordered a chief compliance officer to pay $150,000 for engaging in fraudulent acts and making false statements to a self-regulatory organization.

  • MerrillLynch
    Article

    Merrill Lynch to pay $300K for failing to ‘promptly’ produce audit trail data

    2019-09-11T18:44:00Z

    Merrill Lynch must pay a $300,000 civil monetary penalty for failing to promptly produce to the CFTC certain required records and, separately, failing to supervise its employees and agents.

  • Money
    Article

    Options Clearing Corp. fined $20M over risk policies

    2019-09-05T17:09:00Z

    Options Clearing Corp. will pay a combined $20 million in penalties to the SEC and CFTC to settle charges that it failed to implement certain risk management policies as required by U.S. laws and regulator rules.

  • Binary options
    Article

    CFTC files charges over fraudulent binary options trading scheme

    2019-08-13T15:50:00Z

    The CFTC is pursuing enforcement against five entities and four individuals for engaging in a fraudulent scheme to solicit global customers for the purported purpose of trading illegal, off-exchange binary options.

  • CFTC
    Article

    CFTC approves proposed rule to improve quality for swap data repositories

    2019-04-26T20:26:00Z

    The Commodity Futures Trading Commission approved a proposed rule to improve the quality of swap data and update and streamline regulations related to swap data repository operations and governance.

  • Glencorecrop
    Article

    Glencore announces CFTC probe

    2019-04-26T19:59:00Z

    The U.S. Commodity Futures Trading Commission is investigating whether multinational commodity trading and mining company Glencore and its subsidiaries might have violated certain provisions of the Commodity Exchange Act and/or CFTC regulations.

  • /img/field/image/handshake
    Blog post

    U.K.-U.S. authorities reach post-Brexit derivatives trading deal

    2019-02-26T13:45:00Z

    The U.S. Commodity Futures Trading Commission and the Bank of England—including the Prudential Regulation Authority and the U.K. Financial Conduct Authority—on Monday issued a joint statement finalizing a post-Brexit derivatives trading deal.

  • Blog post

    CFTC: First award issued to a foreign whistleblower

    2018-07-16T13:15:00Z

    The Commodity Futures Trading Commission (CFTC) on Monday announced an award of more than $70,000 to a whistleblower who “significantly” contributed to an ongoing CFTC investigation and led the CFTC to a successful settlement.

  • Blog post

    U.K. and U.S. to collaborate on FinTech initiatives

    2018-02-20T09:00:00Z

    The U.K. Financial Conduct Authority and the U.S. Commodity Futures Trading Commission have signed a first-of-its-kind arrangement with one another to collaborate and support innovative firms through each other’s FinTech initiatives.

  • Blog post

    CFTC launches virtual currency resource web page

    2017-12-17T16:30:00Z

    The Commodity Futures Trading Commission announced the launch of a new virtual currency resource Web page, a central repository for CFTC-produced resources about virtual currency and is designed to educate and inform the public about these commodities, including the possible risks associated with investing or speculating in virtual currencies or ...

  • Blog post

    CFTC issues guidance on CTA registration requirements under MiFID II

    2017-12-13T11:30:00Z

    The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight this week issued interpretative guidance, clarifying commodity trading advisor registration requirements resulting from the European Union’s MiFID II research compensation provisions for investment managers.

  • Blog post

    How the CFTC oversees bitcoin futures

    2017-12-07T13:00:00Z

    Three exchanges regulated by the Commodity Futures Trading Commission this month self-certified new contracts for bitcoin futures products. Sequentially, the CFTC issued a statement on the self-certification of bitcoin products by these exchanges.

  • Blog post

    CFTC releases annual enforcement results for FY 2017

    2017-11-28T14:30:00Z

    The Commodity Futures Trading Commission brought 49 enforcement-related actions in the fiscal year that ended Sept. 30, 2017, including significant actions to root out manipulation and spoofing and to protect retail investors from fraud, according to the agency’s enforcement results for FY 2017.