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FCMs (170)
Your search for FCMs returned 170 results.
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9/12/2019 | Content area: CPO/CTA
RELEASE Number 8008-19 September 12, 2019 CFTC Orders Registrant to Pay $1.5 Million for Violations Related to Cyber Breach Washington, DC –...
7/23/2019 | Content area: CPO/CTA
In August 2018, the Commodity Futures Trading Commission (Commission) proposed regulations that would codify the policies and procedures that the Comm...
7/22/2019 | Content area: CPO/CTA
The guidance clarifies the CIP and BO requirements applicable to introducing brokers (""IBs"") under the Bank Secrecy Act (""BSA""). The guidance prov...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7975-19 July 12, 2019 CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing ...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7974-19 July 11, 2019 CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Su...
7/12/2019 | Content area: CPO/CTA
RELEASE Number 7973-19 July 12, 2019 CFTC Orders Vision Financial Markets LLC to Pay a $200,000 Penalty to Settle Charges that It Failed To ...
7/10/2019 | Content area: CPO/CTA
Advisory to FCMs and time-limited no-action relief to DCOs with respect to the treatment of separate accounts by FCMs.
3/29/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations governing the minimum standards for a self regulatory or...
3/08/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (the ‘‘Commission’’ or ‘‘CFTC’’) is revising its Form 7–R, the application form that entities must use to reg...
8/30/2018 | Content area: CPO/CTA
Imagine informing your regulator about the need for more compliance resources. In effect, that’s one of the elements the CFTC will require in the annu...
7/03/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations governing the minimum standards for a self...
2/12/2018 | Content area: CPO/CTA
a significant amount of AMP’s customers’ records and information were left unprotected for nearly ten months. In April 2017, as a result of this failu...
1/04/2018 | Content area: CPO/CTA
To address the negative impacts on FCM net capital, you have requested a no-action position to allow an FCM to exclude a deferred tax liability that i...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk. As a result, we encour...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[14] As a result, we en...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[16] As a result, we en...
12/14/2017 | Content area: CPO/CTA
The impending introduction of MiFID II continues to reverberate on this side of the Atlantic (IA Watch, Nov. 30, 2017).   The latest example comes fro...
11/14/2017 | Content area: CPO/CTA
The commodity futures trading laws generally require that futures trades be executed on a futures exchange. However, the laws allow for exceptions to ...
11/02/2017 | Content area: CPO/CTA
Morgan Stanley omitted mandatory futures and options data from its Part 17 Large Trader reports to the CFTC. These omissions were the result of four d...
9/22/2017 | Content area: CPO/CTA
Merrill Lynch failed to supervise its response to CME Group’s inquiries from January 2010 through December 2010. Specifically, Merrill Lynch relied ...


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