The Complaint charges that the Defendant made material, false representations in his solicitations of clients and prospective clients, including that 1) “You can win every ...
But the CFTC’s current budget has simply not kept up with the growth of the markets. We need to stay on top of technological innovation ...
According to the Complaint, the Defendants misappropriated funds for personal use and to pay principal and purported returns to existing pool participants, as is typical ...
The Orders find that Bullar, from at least January 2008, and EMA, from at least March 2009 through September 2013, fraudulently solicited and accepted at ...
The Order finds that on three occasions, in or about November and December 2014, BNPP violated the CFTC Regulations governing concentration limits applicable to the ...
According to the CFTC Complaint, on at least 51 trading days between December 2011 and January 2014, Oystacher and 3 Red intentionally and repeatedly engaged ...
There has been a loud cry for harmonization as the G-20 nations implement their leaders’ commitments to regulate the OTC swaps market. But it’s easier ...
Extension of conditional time-limited no-action relief for Yieldbroker Pty Limited with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation 37.3(a)(1) until ...
The Division previously provided no-action relief for certain swaps required to be traded on a swap execution facility (SEF) or designated contract market (DCM) to ...
After four delays, the CFTC should admit that forcing certain complex package transactions to trade via SEFs’ limited execution methods for Required Transactions is simply ...