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CPO/CTA Rules & Regulatory Actions

RELEASE Number 8053-19 October 16, 2019   CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Federal Court Issues ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
RELEASE Number 8052-19 October 15, 2019   Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
Prospective customers lured by disseminating fraudulent marketing materials
“The CFTC will vigorously enforce the rules requiring our registrants to properly supervise their business activities
Failure to file timely reports
Thompson induced two customers to send roughly $7 million to fund the purchase of bitcoin after making false representations
The CFTC has paid out more than $90 million in awards since establishing the Whistleblower Program
The order requires assesses a $140,000 civil monetary penalty
The Commodity Futures Trading Commission (the ‘‘Commission’’) is proposing to amend part 13 of its regulations to eliminate the provisions that set forth the procedure ...
The OCC, Board, FDIC, SEC, and CFTC are adopting amendments to the regulations implementing section 13 of the Bank Holding Company Act. Section 13 contains ...
Promised pool participants 8%-20% returns, lost $1.4 million
Davis failed to tell customers that he frequently had the trading platforms manipulate the options trading software settings to increase the odds of customer losses
The Commodity Futures Trading Commission (“CFTC” or “Commission”) is issuing a final rule to amend the position limit rules applicable to security futures products (“SFP”) ...
Trunz spoofed thousands of trades while employed at two New York banks
A deceptive scheme that attempted to manipulate precious metals futures' prices
At least one broker made false statements to CFTC staff during the investigation
PCI failed to disclose the cyber breach to its customers in a timely manner
Marconato made false statements to the NFA by denying the existence of his commodity pool
Jousef claimed “live” trades but never executed any

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