The Order further finds that the trades were executed under circumstances where certain Newedge account representatives either knew that clients desired to net out futures ...
The de minimis threshold determines when an entity’s swap dealing activity requires registration with the CFTC, which triggers margin and capital requirements, as well as ...
The Order finds that from at least March 1, 2013 through November 13, 2015, every LTR submitted by Wells Fargo failed to meet Part 20 ...
ATW made false and misleading statements to clients and prospective clients by touting the Trader’s experience as a professional trader and by stating that Trader ...
To combat this threat our rulemaking on cybersecurity works to enhance the established cyber safeguards in place for many of our registrants.9 DCOs, DCMs, SEFs ...
The Complaint alleges that in order to fraudulently induce customers to have Defendants act as their CTA, Defendants’ website included a graph with an accompanying ...
The CFTC’s resistance to innovation is also evident in its implementation of important Dodd-Frank reforms on swaps trading. In 2013, the CFTC adopted final rules ...
Apex, by and through its employees, including Burgos, solicited retail customers by telephone to engage in leveraged, margined, or financed precious metals transactions. During that ...
The CFTC Order requires Respondents, jointly and severally, to pay a $200,000 civil monetary penalty, as well as restitution of $189,032.72 to defrauded customers, offset ...
The Order finds that between December 2010 and June 2013, VTB and VTB Capital executed on the CME over 100 block trades in RUB/USD futures ...