The Divisions have not recommended that the Commission take an enforcement action against a Non-U.S. SD (whether or not an affiliate of a U.S. person) ...
Barclays failed to implement and maintain adequate systems for reconciling invoices from exchange clearinghouses with the amounts of fees actually charged to its customers through ...
The award is the fourth award made by the CFTC’s Whistleblower Program to a whistleblower who provided valuable information about violations of the Commodity Exchange ...
while it is essential that we engage in recovery and resolution planning, our goal is never to get to a situation where either of those ...
Clearing takes the decision-making about the appropriate collateralization of standardized derivatives products out of the hands of individual counterparties – many of whom were woefully ...
The Order requires Agrocorp to pay a $150,000 civil monetary penalty and prohibits it from committing future violations of CFTC Regulation 19.02, as charged. The ...
Barclays submitted LTRs with incorrect position information and Commodity Reference Price indicators for certain types of transactions. Subsequently in 2014, Barclays submitted certain LTRs containing ...
As part of his scheme, Wilkinson allegedly lied to participants about the likelihood of profit and risk of loss, and, when participants demanded to withdraw ...
Turning to our CCP related agenda, let me begin by saying that the CFTC’s advisory committee meetings always provide a great opportunity for Commissioners and ...
Since it is highly likely that the default of a significant clearing member would occur in an environment where multiple CCPs and clearing members are ...