CPO/CTA Rules & Regulatory Actions

In August 2018, the Commodity Futures Trading Commission (Commission) proposed regulations that would codify the policies and procedures that the Commission is currently following with ...
The guidance clarifies the CIP and BO requirements applicable to introducing brokers (""IBs"") under the Bank Secrecy Act (""BSA""). The guidance provides regulatory clarity to ...
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 Forex Fraud Scheme ...
RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps ...
RELEASE Number 7975-19 July 12, 2019 CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading ...
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 Supervise ...
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 Supervise ...
Opening Statement of Chairman J. Christopher Giancarlo before the Open Commission Meeting July 11, 2019 Good morning.  This meeting will come to order.  This is ...
Advisory to FCMs and time-limited no-action relief to DCOs with respect to the treatment of separate accounts by FCMs.
RELEASE Number 7965-19 July 10, 2019 Federal Court Permanently Enjoins Defendants and Orders Them to Pay Penalties and Restitution for Bitcoin Solicitation Fraud, Impersonating a ...
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