This case featured a trader who concealed losses, misappropriated approximately $1 million of pool participants’ funds, issued false account statements to pool participants, and failed ...
Since Congress passed Dodd-Frank, we have increased oversight of major market players through the registration and regulation of major swap participants and swap dealers. More ...
This entity failed to meet the minimum net capital requirements of the CFTC for a brief period of time on Jan. 9, 2013, due to ...
Giancarlo makes the point that "American agriculture will continue to play a big part in feeding the globe in the decades to come."
This order targets an entity charged with holding illegal, off-exchange commodity transactions.
Commissioner Wetjen urges improved transparency for standardizing stress tests, consideration of a requirement for CCP capital contributions to a guarantee fund and ensuring that recovery ...
This fraudster ripped off charitable and university foundations and pension and retirement plans.
Commissioner Bowen urges against the temptation to ratchet back or weaken prior versions of swaps rules.
No-action letter again modifying the terms of previous No-Action Letter 13-22 for treasury affiliates entering into swaps on behalf of non-financial end-user affiliates that could ...
DSIO is issuing conditional no-action relief permitting a provisionally registered swap dealer to satisfy certain of its requirements under Rule 3.3 by reporting to, and ...