Search for: "U.S. Commodity Futures Trading Commission"
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18 Aug 2021, 12:00 pm
Commodity Futures Trading Commission (CFTC) posted three Notices of Covered Actions (NCAs). [read post]
24 Sep 2019, 7:07 am
Commodities Futures Trading Commission (CFTC) And Bank Secrecy Act (BSA) The CFTC is the regulator “charged with ensuring the integrity of the futures & swap markets”. [read post]
20 Apr 2021, 4:27 pm
A 2020 report by the Commodity Futures Trading Commission (CFTC) found that climate change could pose systemic risks to the U.S. financial system…” [read post]
7 Jun 2019, 10:06 am
Tarbert as the new Chairman of the Commodity Futures Trading Commission (“CFTC”). [read post]
3 Oct 2022, 7:52 am
Commodities Futures Trading Commission asserted its jurisdiction over “virtual currencies. [read post]
23 Oct 2020, 3:00 am
Commodity Futures Trading Commission (CFTC) regarding its Customer Protection Fund (CPF). [read post]
19 Aug 2013, 6:28 am
In the aftermath of Hurricane Sandy, the Securities and Exchange Commission joined the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority in issuing a joint staff advisory on business continuity and disaster recovery planning. [read post]
19 Aug 2013, 6:28 am
In the aftermath of Hurricane Sandy, the Securities and Exchange Commission joined the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority in issuing a joint staff advisory on business continuity and disaster recovery planning. [read post]
3 Jan 2023, 10:08 am
CFTC Enforcement Actions Against Precious Metal Firms In September, 2022, the Commodity Futures Trading Commission announced an order resolving charges against Goldline, Inc. [read post]
23 Jun 2021, 11:54 am
House of Representatives passed emergency legislation to fund the Commodity Futures Trading Commission (CFTC) Whistleblower Program. [read post]
28 Sep 2011, 10:11 am
The proposals were based on recommendations by an advisory committee to the SEC and the Commodity Futures Trading Commission. [read post]
10 Jul 2012, 10:43 am
Commodity Futures Trading Commission (“CFTC”) voted today on a number of key rules. [read post]
22 Jul 2020, 12:46 pm
Commodity Futures Trading Commission (CFTC) announced that it will award more than $1 million to two whistleblowers who voluntarily provided original information that led to a successful enforcement action by the CFTC. [read post]
8 Jul 2024, 12:12 pm
Commodity Futures Trading Commission (the “CFTC”) reached a $55 million settlement with Trafigura Trading LLC, marking a significant aggressive shift in the agency’s approach to whistleblower protections. [read post]
23 May 2014, 1:55 pm
The Commodity Futures Trading Commission (CFTC) announced this week that the agency will make its first ever award to a whistleblower for a tip in relation to securities violations. [read post]
3 Nov 2021, 6:00 am
Commodity Futures Trading Commission (CFTC) Whistleblower Program released its annual report to Congress. [read post]
15 Apr 2020, 6:50 am
Perhaps more importantly for those involved in commodities markets, the Commodity Futures Trading Commission (CFTC) filed an amicus curiae, or “friend of the court,” brief in the Second Circuit case supporting the traders (Prime International Trading LTD., et al. v. [read post]
21 Nov 2013, 6:30 am
The coverage begins with the period from the late nineteenth century to the first congressional efforts at regulation in the 1930s and continues on to the present, with a full chapter on the legal and financial aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.All the U.S. financial institutions involved with such regulation--the most prominent of which are the Securities and Exchange Commission created in 1934 and the Commodity… [read post]
8 Mar 2022, 12:51 pm
Through a press release, the Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action against five individuals and five companies with misappropriation and violations of registration in connection with a scheme involving foreign currency exchanges (“forex”.) [read post]
27 Nov 2023, 11:35 am
The historic settlement resolves investigations by multiple government agencies, including the Department of Justice (DOJ) and Commodity Futures Trading Commission (CFTC), and the underlying violations are covered under multiple U.S. whistleblower award programs. [read post]
