Commodity Futures Trading Commission (CFTC)

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 ...

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.