Registration Based on Quantitative Test Likely to Be Part of Supplemental Regulation AT, Suggests CFTC Chairman -
Timothy Massad, Chairman of the Commodity Futures Trading Commission, indicated last week that he...more
10/24/2016
/ Chief Compliance Officers ,
Deutsche Bank ,
Enforcement Actions ,
Ernst & Young ,
EU Market Abuse Regulation (EU MAR) ,
Money Market Funds ,
Rare Earth Metals ,
Regulation AT ,
Special Master ,
TRACE ,
Unregistered Brokers
Advantage Futures LLC, Joseph Guinan, its majority owner and chief executive officer, and William Steele, who until May 2016 was Advantage’s chief risk officer, settled charges brought by the Commodity Futures Trading...more
CFTC Commissioner Bowen Argues for User Fees During House Subcommittee Hearing; Commissioner Wetjen Calls for Bankruptcy Law Amendments to Permit Individual Segregation of Customer Funds -
Commodity Futures Trading...more
4/23/2015
/ Bank of New York (BNY) Mellon ,
BSA/AML ,
Capital Requirements ,
CFTC ,
Congressional Investigations & Hearings ,
Custody Rule ,
Deutsche Bank ,
Enforcement Actions ,
Ernst & Young ,
Fiduciary Duty ,
Financial Statements ,
Fraud ,
Regulatory Agenda ,
Spoofing