All Commodity Futures Trading Commission articles – Page 8
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ArticleCFTC 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.
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ArticleCFTC 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.
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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.
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ArticleOptions 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.
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ArticleCFTC 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.
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ArticleCFTC 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.
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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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BlogU.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.
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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.
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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.
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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 ...
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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.
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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.
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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.