Commodity Futures Trading Commission (CFTC)

Financial regulators should take “a holistic, financial sector-wide view” of cyber-security threats—which includes communicating better amongst the various agencies, a new review by the Council ...

RELEASE Number 7983-19 July 25, 2019   In CFTC Actions, Two Former Precious Metals Traders Admit To Engaging in Spoofing and Manipulation at New York ...

In August 2018, the Commodity Futures Trading Commission (Commission) proposed regulations that would codify the policies and procedures that the Commission is currently following with ...

The guidance clarifies the CIP and BO requirements applicable to introducing brokers (""IBs"") under the Bank Secrecy Act (""BSA""). The guidance provides regulatory clarity to ...

RELEASE Number 7980-19 July 19, 2019 Federal Court Orders Defendant to Pay More Than $2.9 Million in Connection with a Social Media-Based Forex Fraud Scheme ...

Heath Tarbert is officially the CFTC’s new chairman, replacing J. Christopher Giancarlo, who joined the Commission in 2014 and became its chairman in 2017. Tarbert ...

You may wish to defer any trader’s bonus until after an audit is completed after finding out how a former portfolio manager at an unidentified ...

RELEASE Number 7979-19 July 18, 2019 CFTC Orders Former Hedge Fund Portfolio Manager to Pay More than $700,000 in Monetary Sanctions for Fraudulently Mismarking Swaps ...

RELEASE Number 7975-19 July 12, 2019 CFTC Files and Settles Enforcement Actions Against Two Futures Commission Merchants and an Introducing Broker Arising from Unauthorized Trading ...

RELEASE Number 7974-19 July 11, 2019 CFTC Orders ADM Investor Services Inc. to Pay a $250,000 Penalty to Settle Charges that it Failed to Supervise ...