- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jeff Dale2023-09-21T19:27:00
A Chicago-based swap dealer agreed to pay $650,000 as part of a settlement with the Commodity Futures Trading Commission (CFTC) addressing admitted disclosure and supervision failures.
StoneX Markets failed to disclose thousands of pre-trade mid-market marks (PTMMM) and to diligently supervise its disclosure process, the CFTC announced in a press release Wednesday. The firm was ordered to complete a remediation plan and submit reports to the CFTC’s Division of Enforcement on its compliance.
From March 2016 to at least June 2022, StoneX failed to comply with the CFTC’s business conduct standards by not properly training and monitoring associated persons regarding its disclosure requirements, the agency said in its order.
2023-10-02T17:53:00Z By Kyle Brasseur
Goldman Sachs, JPMorgan Chase, and Bank of America agreed to pay penalties totaling $53 million across settlements with the Commodity Futures Trading Commission addressing alleged swap reporting failures among their respective affiliates.
2023-09-25T17:50:00Z By Jeff Dale
GTT Communications, a provider of telecommunications and internet services, avoided a civil penalty in reaching a settlement with the Securities and Exchange Commission addressing alleged disclosure failures over more than a two-year period.
2023-09-08T18:31:00Z By Aaron Nicodemus
Commissioner Caroline Pham of the Commodity Futures Trading Commission proposed the agency develop a regulatory pilot program for digital asset markets where new initiatives could be introduced and refined.
2025-06-12T15:51:00Z By Neil Hodge
Europe’s pioneering data protection legislation turned seven years old in May, but the compliance and enforcement difficulties that have dogged the rules since they came into force look set to present both companies and data regulators with fresh headaches for some time to come.
2025-06-11T15:12:00Z By Adrianne Appel
The Department of Justice has charged the founder of cryptocurrency company Evita with 22 violations for allegedly laundering more than $500 million through U.S. banks and cryptocurrency exchanges, on behalf of sanctioned Russian entities.
2025-06-07T01:41:00Z By Oscar Gonzalez
The Securities and Exchange Commission Chair Paul Atkins explained his agency’s shift on cryptocurrency regulation to a Senate committee as legislators bargain over President Donald Trump’s “One Big Beautiful Bill” and the GENIUS Act, which would have the federal government invest heavily in cryptocurrency.
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