All Commodity Futures Trading Commission articles – Page 8

  • Documents

    BGC Financial to pay $3M for supervisory failures


    BGC Financial was accused of various supervision, reporting, and recordkeeping violations that went on for more than five years in a $3 million enforcement action from the CFTC.

  • Decrease

    CFTC whistleblower payouts, tips received drop in FY2019


    The CFTC made a handful of big payouts to whistleblowers in fiscal year 2019, but denied awards on 129 applications in the same timeframe.

  • Fraud

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


    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.

  • Article

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


    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

    Options Clearing Corp. fined $20M over risk policies


    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

    CFTC files charges over fraudulent binary options trading scheme


    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

    CFTC approves proposed rule to improve quality for swap data repositories


    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.

  • Article

    Glencore announces CFTC probe


    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.

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


    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

    CFTC: First award issued to a foreign whistleblower


    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

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


    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

    CFTC launches virtual currency resource web page


    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

    CFTC issues guidance on CTA registration requirements under MiFID II


    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

    How the CFTC oversees bitcoin futures


    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

    CFTC releases annual enforcement results for FY 2017


    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.