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Press Room Archive
Date
Press Releases
02/13/2017
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Transition for March 1, 2017 Compliance Date for Variation Margin and No-Action Relief from Minimum Transfer Amount Provisions
, 7531-17
02/09/2017
CFTC Orders John B. Oden and His Company, Oden Capital Management, LLC, to Pay a $100,000 Penalty for Failure to Register with the CFTC and Failure to Comply with Certain Pool Operator Requirements
, 7530-17
02/06/2017
CFTC’s Division of Market Oversight Provides Time-Limited No-Action Relief for Aggregation Notice Filings for Position Limits
, 7529-17
02/06/2017
CFTC Orders Forex Capital Markets, LLC (FXCM), Its Parent Company, FXCM Holdings, LLC and FXCM’s Founding Partners, Dror Niv and William Ahdout, to Pay a $7 Million Penalty for FXCM’s Defrauding of Retail Forex Customers
, 7528-17
02/03/2017
CFTC Orders The Royal Bank of Scotland to Pay $85 Million Penalty for Attempted Manipulation of U.S. Dollar ISDAFIX Benchmark Swap Rates
, 7527-17
02/01/2017
Federal Court in Florida Orders Joseph Charles DiCrisci to Pay More than $2.9 Million in Disgorgement and a Civil Monetary Penalty for Engaging in Illegal, Off-Exchange Precious Metals Transactions
, 7526-17
02/01/2017
CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief for Swap Dealers Doing Business in EU
, 7525-17
01/27/2017
CFTC Charges Florida Residents Anthony J. Klatch II and Lindsey Heim, along with their Company Assurance Capital Management, LLC, with Fraud and Misappropriation
, 7524-17
01/27/2017
CFTC Acting Chairman Giancarlo Announces Amir Zaidi as Director of the Division of Market Oversight
, 7523-17
01/26/2017
CFTC General Counsel Jonathan L. Marcus to Depart Agency
, 7522-17
01/26/2017
CFTC Orders Chicago-based E*TRADE Securities LLC and E*TRADE Clearing LLC to Pay a $280,000 Civil Monetary Penalty for Failure to Retain Required Records and Failure to Diligently Supervise
, 7521-17
01/23/2017
CFTC Extends Public Comment Period for the Supplemental Proposal for Regulation Automated Trading
, 7520-17
01/20/2017
CFTC Names J. Christopher Giancarlo Acting Chairman
, 7519-17
01/19/2017
CFTC’s Enforcement Division Issues New Advisories on Cooperation
, 7518-17
01/19/2017
Enforcement Director Aitan Goelman to Leave CFTC
, 7517-17
01/19/2017
CFTC Orders Citigroup Global Markets Inc. to Pay $25 Million for Spoofing in U.S. Treasury Futures Markets and for Related Supervision Failures
, 7516-17
01/17/2017
CFTC Orders CNCGC Hong Kong Ltd. to Pay a $150,000 Penalty for Call Cotton Reporting Violations
, 7515-17
01/13/2017
CFTC Grants Order to LCH.Clearnet Limited Permitting Portfolio Margining of Customer Positions in Futures, Foreign Futures, and Cleared Swaps
, 7514-17
01/13/2017
CFTC Unanimously Approves Proposals on Swaps Data and Other Amendments
, 7513-17
01/12/2017
CFTC Unanimously Approves Proposal to Amend Recordkeeping Requirements
, 7512-17
01/11/2017
CFTC Orders J.P. Morgan Securities LLC to Pay $900,000 for Supervision Failures
, 7511-17
01/11/2017
CFTC Issues Order of Registration for ICE Endex Markets B.V. to Permit Trading by Direct Access from the U.S.
, 7510-17
01/09/2017
Federal Court Orders Defendants EJS Capital Management, LLC, Alex Vladimir Ekdeshman, and Edward J. Servider to Pay $11.6 Million in Sanctions for Forex Fraud Scheme
, 7509-17
01/05/2017
Federal Court in New York Orders Jon S. Corzine to Pay $5 Million Penalty for his Role in MF Global’s Unlawful Use of Nearly $1 Billion of Customer Funds and Prohibits Corzine from Registering with the CFTC in any Capacity or Associating with an FCM
, 7508-17
01/03/2017
CFTC Chairman Timothy Massad Announces Resignation as Chairman
, 7507-17
12/28/2016
CFTC Charges Brett G. Hartshorn of Sarasota, Florida with Soliciting at Least $906,000 in an Off-Exchange Foreign Currency Fraud Scheme
, 7506-16
12/21/2016
CFTC Orders Goldman Sachs to Pay $120 Million Penalty for Attempted Manipulation of and False Reporting of U.S. Dollar ISDAFIX Benchmark Swap Rates
, 7505-16
12/20/2016
Federal Court Orders Chicago Trader Igor B. Oystacher and 3Red Trading LLC to Pay $2.5 Million Penalty for Spoofing and Employment of a Manipulative and Deceptive Device, while Trading Futures Contracts on Multiple Futures Exchanges
, 7504-16
12/20/2016
CFTC Charges Arizona Resident Derek Springfield and His Company, Draven, LLC, with Fraudulent Solicitation, Misappropriation, and Issuing False Account Statements in Ponzi-Style Commodity Pool Scheme
, 7503-16
12/19/2016
CFTC Staff Issues Time-Limited No-Action Relief for Derivatives Clearing Organizations and Other Reporting Entities from Certain Obligations on Cleared Swap Reporting
, 7502-16
12/19/2016
CFTC Staff Issues Time-Limited No-Action Relief for Entities Submitting Swaps for Clearing with Derivatives Clearing Organizations Acting under Exemptive Orders or No-Action Relief
, 7501-16
12/19/2016
CFTC Orders Convergent Wealth Advisors LLC to Pay an $800,000 Civil Monetary Penalty for Fraudulent Omissions and False Statements in Connection with an Employee’s Commodity Pool
, 7500-16
12/15/2016
CFTC Staff Issues No-Action Relief from the Inter-Affiliate Exemption from Required Clearing for Affiliated Counterparties Located in Australia or Mexico
, 7499-16
12/14/2016
Federal Court in Illinois Orders Yumin Li and BVI-Based Company Kering Capital Ltd to Pay More than $1.2 Million in a Penalty and Restitution for Prearranged Trading Fraud
, 7498-16
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