CFTC Inspector General Strongly Criticizes Cost-Benefit Analysis Underlying Commission’s Rule Establishing Margin for Uncleared Swaps: The Office of Inspector General of the Commodity Futures Trading Commission said that the...more
CME Group announced today that Saxo Bank A/S, a member firm, agreed to pay an aggregate fine of US $190,000 to the Chicago Board of Trade and the Chicago Mercantile Exchange to resolve two disciplinary actions against it for...more
CFTC Re-Proposes Capital Rules for Swap Dealers:
The Commodity Futures Trading Commission re-proposed minimum capital requirements for swap dealers and major swap participants that are not subject to prudential...more
NFA Proposes Requiring CTAs and CPOs to File Certain Financial Ratio Information: The National Futures Association submitted to the Commodity Futures Trading Commission for its approval a new requirement that would mandate...more
Government Seeks Maximum Sentence in Coscia Criminal Action: The United States Attorney’s Office in Chicago requested last week that the judge presiding over the criminal trial of Michel Coscia impose the maximum sentence...more
7/12/2016
/ Business Continuity Plans ,
Commodities ,
Criminal Prosecution ,
Cybersecurity ,
Deutsche Bank ,
Disciplinary Proceedings ,
Disruptive Trading Practices ,
Economic Sanctions ,
Electronic Blue Sheets ,
Enforcement Actions ,
Investment Adviser ,
Securities Fraud
CME Group Reminds Members of Regulatory Requirements for EFRPs and Block Trades Through Disciplinary Actions: The CME Group brought and resolved multiple disciplinary actions against various members and non-members related to...more
2/24/2015
/ Anti-Money Laundering ,
Block Trades ,
Broker-Dealer ,
Chicago Mercantile Exchange (CME) ,
Compliance ,
Disciplinary Proceedings ,
EFRP ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Insider Trading ,
MiFID II ,
Red Flags Rule ,
Securities and Exchange Commission (SEC) ,
UK