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Commodity Futures Trading Commission (CFTC) (1407)
Your search for Commodity Futures Trading Commission (CFTC) returned 1407 results.
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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...
7/19/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations that would permit derivatives clearing organizations ...
7/19/2019 | Content area: CPO/CTA
RELEASE Number 7980-19 July 19, 2019 Federal Court Orders Defendant to Pay More Than $2.9 Million in Connection with a Social Media-Based Fo...
7/18/2019 | Content area: CPO/CTA
You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified Connect...
7/18/2019 | Content area: CPO/CTA
RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fra...
7/18/2019 | Content area: CPO/CTA
Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in ...
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 ...
7/11/2019 | Content area: CPO/CTA
Opening Statement of Chairman J. Christopher Giancarlo before the Open Commission Meeting July 11, 2019 Good morning.  This meeting will come to o...
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.
7/10/2019 | Content area: CPO/CTA
RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitco...
7/09/2019 | Content area: CPO/CTA
The SEC chose the day before the July 4th holiday to release a proposed rule, and days later it was joined by the CFTC, that would set the minimum mar...
7/09/2019 | Content area: CPO/CTA
Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initi...
7/05/2019 | Content area: CPO/CTA
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based hedge fund has learned.  ...
7/05/2019 | Content area: CPO/CTA
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they...
7/03/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is proposing amendments to certain provisions of its regulations governing the offer and sale of...
7/02/2019 | Content area: CPO/CTA
RELEASE Number 7955-19 July 2, 2019 CFTC Charges Hedge Fund with Violating Wheat Futures Speculative Position Limits Washington, DC — The C...
7/01/2019 | Content area: CPO/CTA
Based on Eris Clearing’s representations, it is the Division’s understanding that Eris Clearing would not need to perform monthly stress testing, beca...
7/01/2019 | Content area: CPO/CTA
RELEASE Number 7954-19 July 1, 2019 CFTC Grants DCO Registration to Eris Clearing, LLC Washington, DC —The Commodity Futures Trading Commiss...


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