I have consistently advocated for the protection of end-users from Dodd-Frank’s expansive regulatory reach.1 Similarly, members of Congress have attempted to clarify to the Commission ...
"The Commission must continue to remain open to revisiting certain rules and making adjustments as necessary. For example, the de minimis exception in the swap ...
This firm committed solicitation fraud, misappropriation and issued false account statements to commodity pool participants while operating a commodity pool Ponzi scheme.
Federal Court Orders St. Augustine, Florida Couple and Their Company to Pay $5.76 Million for Defrauding Customers in Foreign Currency Scheme
The Division of Clearing and Risk issued a letter stating that it will not recommend that the Commission take enforcement action against Singapore Exchange Derivatives ...
Extension of no-action relief granted by DCR on September 23, 2013, allowing LCH.Clearnet Ltd to clear swaps executed on designated contract markets and swap execution ...
Extension of joint no-action relief granted by DCR and DMO on September 27, 2013, allowing LCH.Clearnet Ltd to clear contracts listed for trading on Nodal ...
The violations concerned secured funds of foreign futures and option customers, the commingling of customer and firm funds and the failure to prepare accurate daily ...
The fraud allegedly involved misrepresenting trading practices and historical trading returns and the preparation of false account statements and performance reports to pool members.
Commissioner O'Malia argues for technology to improve the CFTC's data. For instance, he states the CFTC doesn't have a single database for all swaps data. ...