States Top Leading News
LJM Funds Management Founder’s Statement in response to SEC and CFTC Actions (STL.News) We published two announcements yesterday regarding LJM Fund Management. Article titles and links are listed below: CFTC Charges LJM Funds Management and More SEC Charges LJM Funds Management, Ltd The following statement was provided to us: Anthony...
CFTC Issues Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V., to Permit Trading by Direct Access from the U.S. Washington, DC (STL.News) The Commodity Futures Trading Commission (CFTC) announced Wednesday that it had issued an Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V. (MexDer),...
Operator Of Highrise Advantage, LLC, Avinash Singh Indicted For Over $57 Million In Investment Fraud Orlando, FL (STL.News) United States Attorney Maria Chapa Lopez announces the return of an indictment charging Avinash Singh (38, Orlando) with 10 counts of wire fraud and 6 counts of money laundering. Singh faces a...
Washington, DC (STL.News) The Commodity Futures Trading Commission and the Commissione Nazionale per le Società e la Borsa (CONSOB) today announced the signing of a Memorandum of Understanding (MOU) regarding cooperation and the exchange of information in the supervision and oversight of regulated firms that operate on a cross-border basis...
Washington, DC (STL.News) The Commodity Futures Trading Commission announced today that it issued an order vacating the designation of Nasdaq Futures, Inc. (NFX) as a designated contract market (DCM). The order was issued at the request of NFX. The CFTC had granted NFX designation as a contract market on November...
Washington, DC (STL.News) The Commodity Futures Trading Commission Friday announced it has issued a whistleblower award to an individual whose information led the Commission to open an investigation into ongoing fraudulent activity and successfully bring an enforcement action. In addition to the initial tip, the whistleblower also provided extensive assistance,...
Washington, DC (STL.News) The Commodity Futures Trading Commission today announced the filing of charges against 20 entities for making false and misleading claims of having CFTC registration and National Futures Association (NFA) membership required to offer services related to trading in foreign exchange (forex), digital assets, and derivatives. Each complaint...
CFTC Orders The Bank of Nova Scotia to Pay $127.4 Million for Spoofing, False Statements, Compliance and Supervision Violations Record Civil Monetary Penalties Levied for Spoofing, False Statements, and Swap Dealer Compliance and Supervision Violations Washington, DC (STL.News) The Commodity Futures Trading Commission today issued three orders filing and settling...
First Case to Charge Violations of CFTC’s Bank Secrecy Act Compliance Regulations Washington, DC (STL.News) The Commodity Futures Trading Commission today filed and simultaneously settled charges against Interactive Brokers LLC, a registered futures commission merchant (FCM), for failing to diligently supervise its officers’, employees’, and agents’ handling of several commodity...
Washington, DC (STL.News) In conjunction with the Commission’s approval of the final cross-border rule today, the Divisions of Swap Dealer and Intermediary Oversight (DSIO), Clearing and Risk (DCR), and Market Oversight (DMO) today withdrew a staff advisory and no-action relief regarding certain cross-border situations and issued new no-action relief. Specifically,...
CFTC Completes All Required Rulemakings Under Section 731 of the Dodd-Frank Act Washington, DC (STL.News) The Commodity Futures Trading Commission at its open meeting Wednesday approved a final rule regarding new capital and financial reporting requirements for swap dealers (SDs) and major swap participants (MSPs). Adoption of this rule marks...
Washington, DC (STL.News) The Commodity Futures Trading Commission today announced it will award more than $1 million to two whistleblowers who voluntarily provided original information that led the Commission to bring a successful enforcement action. The CFTC opened an investigation after the first whistleblower’s information was deemed to be sufficiently...
