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CFTC

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Prime Brokerage

CFTC Issues Relief to Support Prime Brokerages on SEFs

  • The relief gives swap dealers, acting as a prime broker, exemption from providing certain disclosures.
Friday, 29/03/2019 | 14:50 GMT by Celeste Skinner
Regulation

Court Fines William Powderly $1.1 Million over Trading Program

  • At least seven participants gave Powderly a total of $1,278,000 to trade in his personal commodity futures accounts.
Thursday, 28/03/2019 | 19:55 GMT by Aziz Abdel-Qader
Regulation

CFTC Announces Hard-Brexit Swaps Contingency Plan

  • The US regulator has put measures in place for uncleared swaps from UK entities.
Tuesday, 26/03/2019 | 09:12 GMT by Celeste Skinner
Regulation

CFTC Puts Breaks on ICE's Bitcoin Futures Plans

  • The regulator appears to be opposed to the exchange operator's custodial and collateral plans
Friday, 22/03/2019 | 11:33 GMT by David Kimberley
Brokers

CFTC Drops Hammer on ApuroFX Owner with over $2 Million Fine

  • The fine is quite heavy for an individual but the CFTC notes that he had solicited over $1.15 million from victims.
Monday, 18/03/2019 | 20:34 GMT by Aziz Abdel-Qader
News

Crypto and Blockchain are Transforming the Markets: CFTC Chairman

  • The CFTC recently added cryptocurrencies to its “priority” list for divisional examination.
Thursday, 14/03/2019 | 11:07 GMT by Arnab Shome
Regulation

CFTC Fines Marshall Islands-Based Crypto Broker $1 million

  • pool1 operator Patrick Brunner did not register as an FCM and failed to implement AML procedures
Monday, 11/03/2019 | 17:03 GMT by David Kimberley
Brokers

Interactive Brokers' Market Share of US Retail FX Shrinks

  • Last month, IG Group launched its subsidiary, IG US, the first broker to enter the US market since 2009
Wednesday, 06/03/2019 | 23:16 GMT by Aziz Abdel-Qader
Regulation

CFTC Hands Out $2 Million Award to New Tipster

  • Eligible whistleblowers are entitled to between 10 and 30 percent of the money that the CFTC recovers from those sanctions.
Monday, 04/03/2019 | 21:51 GMT by Aziz Abdel-Qader
Regulation

CFTC Settles Spoofing Case with Indian-American Trader

  • Krishna Mohan was accused of working with other traders to rig the futures contracts on the Chicago Mercantile Exchange.
Monday, 25/02/2019 | 18:09 GMT by Aziz Abdel-Qader
Execution

FCA, BoE, CFTC Agree on Derivatives Market Post-Brexit Measures

  • The three agencies have agreed on measures to ensure a smooth transition of the derivatives markets after Brexit.
Monday, 25/02/2019 | 11:19 GMT by Celeste Skinner
Regulation

Court Penalizes Metals Dealer with $15M Fine on Fraud Scheme

  • An estimated 400 victims nationwide were scammed out of close to $18 million.
Thursday, 21/02/2019 | 22:02 GMT by Aziz Abdel-Qader
News

SEC and CFTC to Consider a Joint Approach Towards Crypto

  • The crypto regulation turf in the US is divided between the two regulators.
Monday, 18/02/2019 | 11:33 GMT by Arnab Shome
Regulation

CFTC Brings Fraud Charges Against FX Trader Kelvin Ramirez

  • Ramirez made a series of materially false claims primarily through social media, including Instagram and WhatsApp.
Friday, 15/02/2019 | 15:57 GMT by Aziz Abdel-Qader
News

CFTC 'to Prioritize' Cryptocurrency in 2019

  • The regulator has published the divisional examination priorities for the first time and included crypto as a main focus
Thursday, 14/02/2019 | 10:06 GMT by Arnab Shome
Regulation

CFTC Fines Man and His Wife on $13 Million Investment Fraud

  • The CFTC says the couple used their faith to get church members to trust them to invest.
Friday, 08/02/2019 | 20:39 GMT by Aziz Abdel-Qader
Regulation

CFTC Slaps $100K Fine on EX-UBS Trader Accused of Spoofing

  • Flotron and co-conspirators made large orders for precious metals transactions that they had no intention of completing.
Thursday, 07/02/2019 | 22:40 GMT by Aziz Abdel-Qader
Brokers

American Dream Makes a Comeback: FX Market Recovers in 2018

  • Active retail FX accounts in the US grew in 2018, with Q4 showing the strongest results in years.
Tuesday, 05/02/2019 | 07:08 GMT by Celeste Skinner
Brokers

Breaking: IG Group Officially Launches IG US

  • IG Group’s move marks its return to the US market after closing IG Markets in 2011.
Friday, 01/02/2019 | 12:51 GMT by Victor Golovtchenko
Brokers

CFTC Data: Retail FX Funds Drop 14% for Interactive Brokers

  • OANDA was the only entity to report an increase from October’s data to December.
Tuesday, 29/01/2019 | 13:24 GMT by Celeste Skinner
News

US Congressman: CFTC, Not SEC, Should Regulate Crypto

  • Soto introduced a bipartisan bill last month to exclude crypto from standard securities law.
Friday, 11/01/2019 | 08:51 GMT by Arnab Shome
Regulation

CFTC Fines Iowa Trader $2.1 Million over Commodity Fraud

  • One client gave him ‎‎$100,000 as he claimed 10% per day returns provided that they would ‎split the profits 50/50 every week.
Friday, 21/12/2018 | 22:19 GMT by Aziz Abdel-Qader
Regulation

CFTC Wins $1.6 Million in Penalties Against Global FX Club

  • The company's owner was previously fined $400,000 and sentenced to 21 months of prison.
Friday, 21/12/2018 | 18:00 GMT by Aziz Abdel-Qader
News

ICE Seeks CFTC Approval for Physical Bitcoin Futures

  • The Intercontinental Exchange is discussing cybersecurity with the US regulator.
Friday, 21/12/2018 | 11:23 GMT by Victor Golovtchenko
Exchanges

CFTC Gives Eurex the Go-Ahead to Clear for US Investors

  • The German exchange will be able to clear interest rate swaps for US asset managers and hedge funds.
Thursday, 20/12/2018 | 08:41 GMT by Celeste Skinner
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