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Regulation

SEC, Telegram Locked in Legal Battle as New Evidence Surfaces

  • Newly obtained documents from regulators are now in play with both sides digging in ahead of key deadlines.
Tuesday, 18/02/2020 | 21:24 GMT by Jeff Patterson
Regulation

CFTC Slaps Florida Trader with $1.2M Fine for Commodities Fraud

  • Matthew entered a guilty plea on January 20 to one count of wire fraud. His sentencing has been scheduled for April 10, 2020.
Thursday, 13/02/2020 | 21:42 GMT by Aziz Abdel-Qader
Brokers

CFTC Wins $2.5 Million Judgment in Blue Guru Case

  • Blue Guru, a Lincolnshire-based firm that claimed to specialize in trading futures contracts, held only $9,000 in investor funds
Friday, 10/01/2020 | 21:35 GMT by Aziz Abdel-Qader
News

CFTC Failed to Locate Director of Crypto Scam Control-Finance

  • The scheme defrauded over 1,000 customers for over $147 million.
Wednesday, 08/01/2020 | 13:50 GMT by Arnab Shome
Brokers

US Retail FX Deposits Grow to $648 Million in November

  • IG US has been slowly but surely clawing market share from traditional big players.
Tuesday, 07/01/2020 | 19:52 GMT by Aziz Abdel-Qader
News

New Bill in House of Congress Seeks to Define & Regulate Crypto

  • A discussion draft of the bill names the United States CFTC, SEC, and FinCEN as regulators.
Friday, 20/12/2019 | 08:27 GMT by Rachel McIntosh
Brokers

Interactive Brokers Loses 30% of Retail FX Funds in Four Months

  • IB’s retail FX deposits went down to $70 million after the figure hit its yearly peak at $103 million mark in June 2019.
Thursday, 05/12/2019 | 22:24 GMT by Aziz Abdel-Qader
Regulation

CFTC Updates ‘RED List’ with 20 New Forex and Binary Brands

  • The CFTC added 20 new names to the list, bringing the total number of backlisted entities to over 146.
Thursday, 05/12/2019 | 16:59 GMT by Aziz Abdel-Qader
Regulation

CFTC Charges $1.3 Billion in Regulatory Penalties in 2019

  • All in, the CFTC brought 69 enforcement-related actions, slightly higher from 67 in 2018.
Monday, 25/11/2019 | 22:18 GMT by Aziz Abdel-Qader
News

Tassat Gets CFTC’s Nod to Offer Physically-Settled Bitcoin Derivatives

  • The firm is planning to launch a crypto derivative exchange in the US.
Friday, 08/11/2019 | 10:35 GMT by Arnab Shome
Regulation

CFTC Charges Denari Capital & Co, with $8.3 Million FX Fraud

  • The fraudsters managed to con at least 28 participants, the CFTC alleges.
Wednesday, 06/11/2019 | 07:20 GMT by Celeste Skinner
Regulation

US Regulators Fine, Seize Domain of Swiss Bitcoin Broker

  • The SEC charged XBT for selling securities on its platform that it failed to register as a futures commission merchant (FCM).
Thursday, 31/10/2019 | 19:37 GMT by Aziz Abdel-Qader
Regulation

CEO of Blue Bit Banc & Co. to Pay Millions in Penalties

  • Blake Kantor, along with other defendants, were given permanent trading restrictions.
Friday, 25/10/2019 | 09:42 GMT by Celeste Skinner
News

CFTC Hits Circle Society with $11 Million Fraud Charges

  • The fraud scheme has been going on since December 2017 until the CFTC uncovered the illicit enterprises last month.
Wednesday, 16/10/2019 | 21:06 GMT by Aziz Abdel-Qader
News

CFTC Chairman: ETH is a Commodity, ETH-Based Futures Expected

  • Heath Tarbert says that Ether falls under the jurisdiction of the CFTC.
Friday, 11/10/2019 | 05:59 GMT by Rachel McIntosh
Brokers

Interactive Brokers Loses $17 Million in Retail FX Deposits

  • Overall, US retail traders’ deposits came in at $604 million in August 2019, down from $628 million reported in July.
Friday, 04/10/2019 | 20:39 GMT by Aziz Abdel-Qader
Regulation

CFTC Slaps Six Institutions with Fines for Reporting Failures

  • Altogether, the fines equal more than $6 million.
Wednesday, 02/10/2019 | 06:17 GMT by Celeste Skinner
Regulation

CFTC Charges Former Yukom Employees, Imposes Trading Bans

  • The orders have been filed against Liora Welles, Yair Hadar, and Shira Uzan.
Tuesday, 01/10/2019 | 06:00 GMT by Celeste Skinner
News

LedgerX Claims CFTC Stalling Approvals Due to ‘Personal Bias’

  • Bakkt beat LedgerX to launch the first physically-delivered BTC futures in the US.
Monday, 30/09/2019 | 07:08 GMT by Arnab Shome
Regulation

Money Makes Another Tipster Comes Forward, CFTC Hands out $7M

  • CFTC doesn’t provide any details of the enforcement case that came out of the whistleblower tip.
Friday, 27/09/2019 | 21:07 GMT by Aziz Abdel-Qader
Execution

CFTC Settles Spoofing Charges with Ex-JPMorgan Metals Trader

  • The case is the latest in a series of prosecutions brought by US regulators as they cracked down on spoofing.
Monday, 16/09/2019 | 17:10 GMT by Aziz Abdel-Qader
Regulation

TP Americas Fined $13 Million by CFTC

  • Voice brokers at the firm allegedly misled their clients and regulatory investigators
Monday, 16/09/2019 | 13:35 GMT by David Kimberley
Regulation

CFTC Files Charges Against FuturesFX for Alleged FX Scam

  • The charges are also against Simon Jousef, the owner of FuturesFX.
Wednesday, 11/09/2019 | 08:54 GMT by Celeste Skinner
Regulation

SEC and CFTC Settle Charges Against OCC for $20 Million

  • The OCC was charged with not having appropriate risk management procedures in place.
Thursday, 05/09/2019 | 06:11 GMT by Celeste Skinner
Executive Moves

TP ICAP Names Former CFTC Director as Global Head of Compliance

  • Amir Zaidi worked at the US regulator for nine years.
Tuesday, 03/09/2019 | 12:07 GMT by Celeste Skinner
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