Search for: "U.S. Commodity Futures Trading Commission"
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25 Nov 2020, 11:30 am
In September the company reportedly agreed to pay Commodity Futures Trading Commission and other agencies $920 million for manipulating the markets for precious metals and Treasury securities. [read post]
18 Nov 2020, 9:03 pm
These kinds of disasters not only lead to massive disruptions and deaths, they also threaten to destabilize the U.S. financial system, according to a recent report commissioned by the Commodity Futures Trading Commission (CFTC). [read post]
5 Nov 2020, 12:44 pm
Every year, the Commodity Futures Trading Commission is required to report to Congress about the CFTC Whistleblower Reward Program, created by the Dodd-Frank Act, which pays awards to eligible whistleblowers who voluntarily provide the Commission with original information, about matters within the CFTC’s jurisdiction, that leads to the recovery of more than $1 million in monetary sanctions. [read post]
3 Nov 2020, 9:06 pm
Commodity Futures Trading Commission (CFTC) issued a report last month on the impact of climate change that landed like a thunderbolt. [read post]
2 Nov 2020, 9:24 am
Commodity Futures Trading Commission (CFTC) released its 2020 Annual Report on the Whistleblower Program and Customer Education Initiatives. [read post]
26 Oct 2020, 9:32 am
One of the most important principles underlying commodity futures regulation is the “segregation” requirement, that is, the requirement that all customer funds for trading must be treated as belonging to the futures customer and kept apart from the FCM’s own funds. [read post]
23 Oct 2020, 3:00 am
Commodity Futures Trading Commission (CFTC) regarding its Customer Protection Fund (CPF). [read post]
22 Oct 2020, 9:05 pm
WHAT WE’RE READING THIS WEEK In a recent report, the Climate-Related Market Risk Subcommittee of the Commodity Futures Trading Commission found that climate change poses significant risks to global financial markets. [read post]
19 Oct 2020, 10:00 am
Commodity Futures Trading Commission (CFTC) announced an order of default judgment, finding that Michael Salerno and his companies Black Diamond Forex LP, BDF Trading LP, and Advanta FX engaged in a foreign currency (forex) trading scheme. [read post]
16 Oct 2020, 10:58 am
The multi-agency enforcement action was brought by the Commodity Futures Trading Commission (CFTC), the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC). [read post]
16 Oct 2020, 6:41 am
The SEC’s responses included examples of common situations when broker-dealers typically may refer to themselves as “advisers” or “advisors” when not so registered, including when such broker-dealer is acting in a role defined by statute such as a municipal advisor or commodity trading advisor. [read post]
15 Oct 2020, 4:09 pm
Securities and Exchange Commission and the Commodity Futures Trading Commission today announced their agencies will hold a joint open meeting on Thursday, Oct. [read post]
14 Oct 2020, 7:00 am
On September 17, the Commodity Futures Trading Commission (CFTC) approved three final rules to revise CFTC regulations for swap data reporting, dissemination and public reporting requirements for market participants. [read post]
9 Oct 2020, 10:28 am
Commodity Futures Trading Commission (CFTC) announced an order filing and settling charges against JPMorgan Chase & Company and its subsidiaries, JPMorgan Chase Bank, N.A., and J.P. [read post]
8 Oct 2020, 6:03 am
Commodity Futures Trading Commission published a report, Managing Climate Risk in the U.S. [read post]
6 Oct 2020, 1:33 pm
The Commodities Futures Trading Commission (CFTC) has announced a whistleblower award without revealing the dollar amount of the award in order to protect the whistleblower’s identity. [read post]
5 Oct 2020, 9:15 am
Commodity Futures Trading Commission reportedly announced parallel actions against JPMorgan Chase & Co. and certain of its affiliates for engaging in manipulative trading in the precious metals and U.S. [read post]
2 Oct 2020, 6:11 am
Financial System Posted by Bob Litterman, Commodity Futures Trading Commission, on Thursday, October 1, 2020 Tags: Climate change, Environmental disclosure, ESG, Institutional Investors, Materiality, Risk, Risk disclosure, Sustainability 2020 Annual Corporate Governance Review Posted by Donald W. [read post]
1 Oct 2020, 5:39 am
Posted by Bob Litterman, Commodity Futures Trading Commission, on Thursday, October 1, 2020 Editor's Note: Bob Litterman is Chairman of the Climate-Related Market Risk Subcommittee of the Commodity Futures Trading Commission (CFTC). [read post]
30 Sep 2020, 11:01 am
Commodity Futures Trading Commission (CFTC) announced an award of approximately $250,000 to a whistleblower. [read post]
