A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
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The CFTC set a comment deadline of October 24, 2023 for proposed amendments to rules governing confirmation of transactions on swap execution facilities.
The CFTC proposed amendments to rules governing confirmation of transactions on swap execution facilities.
A CPO/CTA settled CFTC charges of supervisory failures that allowed “disruptive, reckless, and disorderly” employee trading practices.
A CPO/CTA, operating a pool that invests in digital assets, settled CFTC charges for late and inaccurate statements to pool participants and NFA, and related supervisory violations.