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Regulation
US Regulator Enhances Client Funds Protection Mechanisms
2016-08-09T17:43:10.000+02:00
The US CFTC has announced three new measures to enhance client funds protection
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Regulation
Barclays Capital Fined $800,000 by CFTC for Supervision Failures
2016-08-04T19:53:04.000+02:00
Supervisory failures over exchange and clearing fee processing led to customers being overcharged.
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Regulation
QuantX & Jonathan Parker Fined $1m For Retail Forex Fraud Scheme
2016-08-03T22:02:53.000+02:00
The U.S. CFTC has determined that the perpetrator of the scheme solicited over $340,000.
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Regulation
Federal Court Orders John Briner to Pay $280,000 Over Money Pass Scheme
2016-08-02T22:39:44.000+02:00
The Judge Milton I. Shadur levied a fine against Briner for engaging in fictitious futures transactions.
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Brokers
Federal Court Fines Florida Resident Trader $1.5 million Over Trading Software
2016-08-01T23:49:18.000+02:00
Ghassan continued to fleece investors after being banned from the commodities industry in 2012 over similar violations.
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Exchanges
TAIFEX Receives CFTC Certification for TOPIX Futures Contract
2016-07-29T12:31:45.000+02:00
The granting of the CTFC's certification will allow US investors to trade in the Taiwan futures market.
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Regulation
CFTC Doles Out Latest Whistleblower Award of $50K
2016-07-26T18:31:27.000+02:00
The CFTC has awarded its third whistleblower award in the last ten months with the program helping with enforcement.
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Regulation
CFTC Grants One-Year Extension to DTCC-SWIFT LEI Order
2016-07-18T17:53:29.000+02:00
The extension is important as it facilitates more time for the global LEI system to become fully operational.
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Regulation
Federal Court Orders Matthew Marcus to Pay $250,000 for Money Pass Scheme
2016-07-08T06:04:16.000+02:00
CFTC levied a fine and permanent trading ban against Marcus and his company for engaging in fictitious futures transactions.
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Regulation
CFTC Charges Barclays Bank $560K For Inaccurate Large Trader Reports
2016-07-06T20:56:35.000+02:00
The CFTC has imposed penalties on the British bank for failing to submit accurate LTRs.
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Regulation
CFTC Charges Dorian Garcia With $17.5m in Fines after FX Ponzi Scheme
2016-07-06T12:01:57.000+02:00
A series of fines combined to form a $17.5m penalty against Garcia for swindling investors in a commodity and FX scheme.
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Regulation
CFTC Oversight Division Concludes Evaluation of CBOE Futures’ Transparency
2016-06-29T23:34:31.000+02:00
After one year, the CFTC determined that CBOE Futures did possess adequate trade practice surveillance
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Regulation
CFTC Charges Ex-CBOE Member With $7m Commodity Pool Fraud
2016-06-29T00:01:54.000+02:00
A former director of the Chicago Board Options Exchange charged with misappropriating more than $5.0m of pool’s funds.
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Execution
CFTC Approves Clear Markets as Fully Registered Swap Execution Facility
2016-06-28T09:13:18.000+02:00
CFTC on Monday formally recognised a new venue as a SEF, reflecting the industry’s growing adaptation to the new rules.
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Regulation
US Watchdog Secures Court Order Against Fraudulent Commodity Pool Scheme
2016-06-22T23:30:26.000+02:00
CFTC receivs court orders to impose trading bans and penalties of nearly $3.0 million against a commodity pool operator.
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Regulation
CFTC Charges Magee Family in $3.2m Commodity Pool Fraud Scheme
2016-06-21T11:26:36.000+02:00
The CFTC has obtained a default judgment orders against three members of the Magee family for commodity pool fraud.
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Regulation
Owner of Precious Metals Trading Companies to Pay Over $2.4m in CFTC Fines
2016-06-20T23:32:24.000+02:00
Todd Owen Marshall and his companies have engaged in illegal off-exchange precious metals transactions.
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Brokers
US Retail Forex Funds Down, April 2016 FCM Data Shows
2016-06-13T22:56:08.000+02:00
The latest CFTC report shows that the size of the American retail forex industry is contracting.
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Trading
Nadex Resumes Trading in Bitcoin Binary Options Contracts
2016-06-13T17:25:22.000+02:00
Nadex brings back Bitcoin binary options after TeraExchange was granted full registered status by the CFTC last month.
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Exchanges
CFTC Fines Bitcoin Exchange Bitfinex $75,000 for Leveraged Trading Service
2016-06-02T22:15:02.000+02:00
Bitfinex would have to register as a Futures Commission Merchant in order to allow its clients to trade on the venue
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Executive Moves
Former CFTC Commissioner Bart Chilton Joins NexChange as Advisor
2016-06-02T16:08:34.000+02:00
NexChange has bolstered its senior advisory team by adding Bart Chilton.
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Exchanges
CFTC Grants Full Registration to GAIN's GTX, FlexTrade and TeraExchange
2016-05-27T09:38:01.000+02:00
TeraExchange LLC, GTX SEF LLC, and FTSEF LLC are now fully registered SEFs.
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Regulation
US District Court Levies $6m in Fines, Restitutions Against David Bryant
2016-05-25T22:55:10.000+02:00
David Bryant was ordered to pay up to $6m for fraudulently soliciting money from his own family, friends, and investors.
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Regulation
Citi Draws $250m Fine for Charges Surrounding USD ISDAFIX
2016-05-25T16:07:10.000+02:00
The fines at Citi keep coming, this time a $250 million penalty for manipulating the USD ISDAFIX.
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Regulation
CFTC Fines Citi, Affiliates for $175m for Yen LIBOR Manipulation
2016-05-25T15:22:26.000+02:00
Citi and several Japanese affiliates were on the hook for $175M after their role in LIBOR manipulation and wrongdoing.
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