The Commission alleges the firms created false financial and trading records that purported to show that they traded according to a proprietary algorithmic trading system ...
Order includes restitution award and prohibitions against future activity.
The investment manager of a cash collateralized loan obligation (CLO) transaction requested, and DSIO granted pursuant to Regulation 140.99, a no action position from DSIO ...
Conditional No-Action Relief with respect to Swaps Trading on Certain Multilateral Trading Facilities Overseen by Authorities Designated by European Union Member States
An insurance company requested no-action relief from the Division, in order to allow the company to provide reinsurance of pension plans' longevity risks through multi-step ...
California Resident Charles Victoria and his Companies PGS Capital Wealth Management and PGS Capital Credit, Inc., and Florida Resident Frank O. Davies and his Company ...
Commissioner O'Malia talks about the importance of technological innovation, the need to ensure that end-users are not caught by CFTC rules and the futurization of ...
Extension of previously issued no-action.
An FCM must maintain adjusted net capital equal to or in excess of the greatest of $1 million, or various other measures, including the “amount ...
O'Malia suggests the CFTC automate its tips and complaints intake function or invest in enhanced market surveillance and risk analytics system.