Commission Regulation 23.502 requires SDs and MSPs to engage in portfolio reconciliation once each day, week or calendar quarter, depending on the size of the ...
Davis was convicted on May 14, 2015 of multiple counts of criminal conspiracy, mail fraud, wire fraud, and money laundering in connection with the operation ...
One of the biggest challenges we face at the CFTC is very simple: there is more we should be doing. We should be responding more ...
The U.S. Commodity Futures Trading Commission (CFTC) today filed and simultaneously settled charges against Forex Capital Markets, LLC (FXCM), a registered Futures Commission Merchant, for ...
The Order arises out of a civil enforcement Complaint filed under seal by the CFTC on August 25, 2015, charging the Defendants with fraudulently soliciting ...
These changes will increase transparency by improving the disclosure that each dealer must make to its customers about the risks of engaging in off-exchange foreign ...
I am particularly pleased that the proposals include a requirement that each retail forex dealer (“RFED”) member must establish, maintain and enforce a risk management ...
Traders in FCStone’s KCEG often obtained verbal authorization to enter into discretionary trades, although FCStone’s written compliance procedures required written authorization if a trader exercised ...
This proposal would ensure there is a simple, consistent process surrounding the reporting workflows for cleared swaps. For example, the proposal would clarify the reporting ...
This proposed rulemaking represents a major step toward making our data more accurate. With this rulemaking, we intend to provide clarity to swap counterparties, exchanges, ...