Search for: "U.S. Commodity Futures Trading Commission"
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16 Nov 2011, 6:00 am
photo credit: hans s CFTC LAW | Forex, Futures and Derivatives Regulatory News - Forex, Futures, and Commodities News and Analysis. [read post]
24 Oct 2012, 6:12 pm
Driver was originally the subject of an enforcement proceeding brought by the Commodity Futures Trading Commission ("CFTC") in May 2009, alleging that Driver bilked investors out of millions of dollars by promising above-average returns purportedly achieved through trading commodity futures. [read post]
27 Nov 2018, 5:00 am
The requirements will be applicable to all APs engaging in swaps activities, including those who are designated as swap APs at futures commission merchant (FCMs), introducing brokers (IBs), commodity pool operators (CPOs) and commodity trading advisors (CTAs), and those individuals who act as APs at swap dealers (SDs). [read post]
27 Jun 2012, 6:27 am
Commodity Futures Trading Commission (CFTC) issued an Order today filing and settling charges against Barclays PLC, Barclays Bank PLC (Barclays Bank) and Barclays Capital Inc. [read post]
1 Sep 2011, 6:39 pm
Critics also maintain that the bill threatens the effectiveness of the nascent Commodity Futures Trading Commission (CFTC) whistleblower program, a product of the Dodd-Frank Financial Reform Bill. [read post]
2 Dec 2021, 7:03 am
Individuals can disclose information relevant to potential FCPA violations to either the SEC or the Commodity Futures Trading Commission. [read post]
28 Apr 2022, 12:41 pm
Individuals can disclose information relevant to potential FCPA violations to either the SEC or the Commodity Futures Trading Commission (CFTC). [read post]
26 Oct 2018, 7:13 am
This includes serving, directly or indirectly, as the investment manager, investment adviser, commodity trading advisor, or sponsor to the covered fund. [read post]
19 Aug 2011, 11:30 pm
Commodity Futures Trading Commission (CFTC) adopted finalized rules for its new Whistleblower Reward Program that heavily favor whistleblowers. [read post]
16 Oct 2017, 11:17 am
Commodity Futures Trading Commission (CFTC) Zier fraudulently solicited $2.9 million in investments in ZAM. [read post]
18 Dec 2011, 11:50 am
Commodity Futures Trading Commission filed civil charges against Onsa and New Century in April 2011, charing the two with violations of the Commodity Exchange Act, and seeking disgorgement of ill-gotten gains and civil monetary penalties. [read post]
29 Oct 2012, 7:00 am
International Trade Commission U.S. [read post]
2 Jul 2012, 7:50 am
The Commodity Futures Trading Commission June 29 voted unanimously to propose interpretive guidance regarding how its rules for over-the-counter derivatives would apply to non-U.S. entities and activities outside the United States. [read post]
1 Oct 2010, 3:35 pm
Findings Regarding Market Events of May 6, 2010 - September 30, 2010 "This report presents findings of the staffs of... [read post]
6 Oct 2012, 5:41 pm
Previously, domain name seizures had been used in investigations by other federal agencies such as the Immigration and Customs Enforcement, the Commodity Futures Trading Commission, the U.S. [read post]
6 Oct 2018, 6:04 am
The second limitation is that those persons or institutions that are registered with, and functionally regulated or examined by, the Securities and Exchange Commission or the Commodity Futures Trading Commission are not considered an MSB. [read post]
14 Oct 2011, 6:08 pm
For IOSCO to be the premier standard-setter for both securities and derivatives, he reasoned, it is critical that the CFTC have membership status commensurate with its regulatory responsibilities, which he said would be the regulation of both the $300 trillion U.S. swaps market as well as the $40 trillion U.S. futures market, in aggregate the largest derivatives markets in the world. [read post]
12 May 2022, 6:34 am
When I first appeared before this group, as Chair of the Commodity Futures Trading Commission (CFTC), Washington was still developing the regulatory response to the 2008 financial crisis. [read post]
12 May 2022, 6:34 am
When I first appeared before this group, as Chair of the Commodity Futures Trading Commission (CFTC), Washington was still developing the regulatory response to the 2008 financial crisis. [read post]
20 Jun 2023, 5:21 am
Orrick of the U.S. [read post]
