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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]
27 Nov 2023, 7:50 am
Commodity Futures Trading Commission (CFTC) posted a Notice of Covered Action (NCA) for a $20 million enforcement action taken against an Illinois man and his entities for operating a commodity pool Ponzi scheme. [read post]
26 Nov 2023, 8:18 am
They are the Securities & Exchange Commission, the Commodities Futures Trading Commission and The Financial crimes Enforcement Network (FINCEN) of the Treasury department. [read post]
22 Nov 2023, 1:24 pm
Securities and Exchange Commission and the Commodity Futures Trading Commission have increased enforcement actions against cryptocurrency and other digital asset companies. [read post]
21 Nov 2023, 9:01 pm
US FEDERAL DEVELOPMENTS The Commodity Futures Trading Commission has regulatory authority over the derivatives markets in the United States (including, for example, voluntary carbon emissions offset futures) and anti-fraud and anti-manipulation authority over spot commodity markets (including the VCCs market), as well as the derivatives markets. [read post]
16 Nov 2023, 9:05 pm
The realities of fragmentation are evident in the increasing competition between the major federal regulators claiming jurisdiction over digital asset markets: the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). [read post]
14 Nov 2023, 9:04 am
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) surpassed $2 billion in whistleblower awards, according to the whistleblower law firm Kohn, Kohn & Colapinto. [read post]
13 Nov 2023, 9:05 pm
., an “activities-based approach”) to address risks to financial stability; (2) the commitment to conduct a cost-benefit analysis prior to designating a nonbank financial company; and (3) the commitment to assess the likelihood of a company’s “material financial distress” prior to designation (the latter two of which were included in response to shortcomings identified in the MetLife decision).[13] The Council determined that these prerequisites to designation… [read post]
8 Nov 2023, 11:55 am
In December 2022, Congress amended the AMLA whistleblower program of 2020 with the intention of better aligning the AMLA program with successful whistleblower programs at the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
6 Nov 2023, 11:16 am
The whistleblower office of the Commodity Futures Trading Commission (CFTC) has issued an alert for information concerning violations of The Bank Secrecy Act including: 1) implementing and maintaining a written anti-money laundering program approved by senior management; 2) implementing a written customer identification program; 3) filing suspicious activity reports and 4) filing currency transaction reports. [read post]
3 Nov 2023, 10:05 am
The goals of these efforts are to “generate more high-impact whistleblower tips in the future and help keep markets safe for participants. [read post]
3 Nov 2023, 6:55 am
By Suzanne CosgroveKalshiEX LLC, a regulated designated contract market that offers event contracts, sued the Commodity Futures Trading Commission in federal court Wednesday, challenging the Commission’s September 2023 order that prohibits Kalshi from listing its controversial Congressional Control Contracts (KalshiEX LLC v. [read post]
1 Nov 2023, 6:11 am
Regulators cannot predict the future and should not try to drive outcomes, she said.Mersinger delivered the remarks on October 27 at the S&P Global Commodity Insights Nodal Trading Conference.Can’t predict the future. [read post]
31 Oct 2023, 2:07 pm
Commodity Futures Trading Commission (CFTC) released its Annual Report on the CFTC Whistleblower Program for the 2023 Fiscal Year (FY 2023). [read post]
23 Oct 2023, 10:00 pm
The Division of Enforcement of the US Commodity Futures Trading Commission (CFTC or Commission) published on October 17, 2023 an advisory to assist its staff in recommending future enforcement resolutions to the Commission (the Advisory). [read post]
23 Oct 2023, 10:00 pm
The Division of Enforcement of the US Commodity Futures Trading Commission (CFTC or Commission) published on October 17, 2023 an advisory to assist its staff in recommending future enforcement resolutions to the Commission (the Advisory). [read post]
23 Oct 2023, 10:00 pm
The Division of Enforcement of the US Commodity Futures Trading Commission (CFTC or Commission) published on October 17, 2023 an advisory to assist its staff in recommending future enforcement resolutions to the Commission (the Advisory). [read post]
23 Oct 2023, 10:00 pm
The Division of Enforcement of the US Commodity Futures Trading Commission (CFTC or Commission) published on October 17, 2023 an advisory to assist its staff in recommending future enforcement resolutions to the Commission (the Advisory). [read post]
23 Oct 2023, 10:00 pm
The Division of Enforcement of the US Commodity Futures Trading Commission (CFTC or Commission) published on October 17, 2023 an advisory to assist its staff in recommending future enforcement resolutions to the Commission (the Advisory). [read post]
23 Oct 2023, 10:00 pm
The Division of Enforcement of the US Commodity Futures Trading Commission (CFTC or Commission) published on October 17, 2023 an advisory to assist its staff in recommending future enforcement resolutions to the Commission (the Advisory). [read post]
