Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
FCMs (163)
Your search for FCMs returned 163 results.
Sorted by Date

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 ...
8/31/2017 | Content area: CPO/CTA
Division staff issued to Ikon a second subpoena which identified seven specific EFP transactions and requested certain documents regarding those trans...
6/21/2017 | Content area: CPO/CTA
McVean in December 2012, and McVean and Wharton in February 2013, accumulated long live cattle futures positions in MTI customer and house accounts th...
5/03/2017 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations regarding certain duties of chief compliance o...
3/29/2017 | Content area: CPO/CTA
Based on the foregoing and the representations made by “A”, and without making a determination as to whether the activity in question is a “covered tr...
3/27/2017 | Content area: CPO/CTA
The CFTC Order finds that for a number of years, from at least May 2011 and continuing through at least October 2014, Davisco accepted orders from its...
2/06/2017 | Content area: CPO/CTA
CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pa...
2/01/2017 | Content area: CPO/CTA
The Court’s Order stems from a CFTC Complaint filed on January 12, 2016 that charged DiCrisci and Oakmont with engaging in illegal, off-exchange preci...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US