FCM Agrees to Pay US $800,000 Fine to CFTC Because of US $1.1 Million in Erroneous Customer Exchange Fees Charges: Barclays Capital, Inc. agreed to pay a fine of US $800,000 to the Commodity Futures Trading Commission to...more
8/9/2016
/ Barclays ,
Cloud Computing ,
Confidential Information ,
Consolidated Audit Trail ,
Default Judgment ,
Enforcement Actions ,
Federal Reserve ,
Goldman Sachs ,
Investment Banks ,
Monetary Authority of Singapore ,
Swaps ,
Transaction Fees
SEC Overturns CBOE Determination That Individual Traders of Two Omnibus Accounts Were Customers Requiring Application of Customer Identification Rule -
The Securities and Exchange Commission set aside a determination by...more
6/20/2016
/ Block Trades ,
CBOE ,
CIP ,
Compliance ,
Confidential Information ,
Criminal Prosecution ,
Enforcement Actions ,
Hedge Funds ,
Insider Trading ,
Public Comment ,
Spoofing