This case against Deutsche Bank Securities also alleges violations of CFTC reporting obligations.
This letter helps a signal futures firm so it can have more time to file a petition to be exempt from being a derivatives clearing ...
This letter gives on entity, India Ltd., more time to seek a DCO exemption.
Extension of time-limited no-action relief for Korea Exchange, Inc. with regard to Section 5b(a) of the Commodity Exchange Act and implementing regulations thereunder.
Extension of time-limited no-action relief for OTC Clearing Hong Kong Limited with regard to Section 5b(a) of the Commodity Exchange Act and implementing regulations thereunder.
This letter places conditions on entities that engage in insurance-linked securities transactions to avoid registering as a CPO.
This case involved a bank that engaged in more than 1,000 illegal wash sales over a three-year period.
This case featured a firm that agreed to pay $2.8 million in rebates to some of its commodity pool participants by investing the rebate funds ...
The CFTC succeeding in getting a court to order restitution from a fraudulent CPO/CTA but now the money must be collected to make clients whole.
This is another CFTC no-action letter dealing with the oral recordkeeping by CTAs. This letter extends the relief to CTAs that are members of a ...