CFTC won't pursue an enforcement action against a swap dealer acting as a prime broker pursuant to a prime brokerage arrangement.
This final rule is another Project KISS proposal simplifying and reducing burdens by revisiting our rules based on staff implementation experience and public comment. ...
Powderly falsely represented to customers and prospective customers that he and a university professor had developed a commodity futures trading program that generated exceptional hypothetical ...
making this substituted compliance determination, Commission staff has conducted a principles-based, holistic analysis that focuses on regulatory outcomes rather than on a strict rule-by-rule ...
This overly complex and unduly narrow approach was reflected in the original comparability determination for Japan, which left firms subject to an impractical patchwork of ...
I take seriously, however, the concern about potential misuse of this provision in ways that are not intended. The preamble makes it clear that ...
In CFTC Action, Federal Court Orders Precious Metals Firm and its Principal to Pay More than $3.6 million in Monetary Sanctions for Precious Metals Fraud ...
Federal Court Orders Precious Metals Dealer and Its Owner to Pay More than $2.3 Million for Fraud and Misappropriation in Gold and Silver Scheme
Federal Court Orders Forex Fraudster and His Companies to Pay More Than $2.2 Million for Fraudulent Solicitation and Misappropriation of Customer Funds
Bridge Over Brexit. Two weeks ago, the CFTC along with the Bank of England and the Financial Conduct Authority (FCA), with support from Her ...