An Australia-based investment management company settled CFTC charges for exceeding position limits in platinum futures.
News & Insights
A market-maker settled charges with NYSE American and NYSE Arca for exceeding its applicable position limits in securities trading.
The DOL Employee Benefits Security Administration reopened the comment period for proposed amendments to a prohibited transaction exemption that would clarify the circumstances under which relief may be provided for misconduct that is self-corrected under the DOL's Voluntary Fiduciary Correction Program.
The DOL Employee Benefits Security Administration proposed amendments to a Prohibited Transaction Exemption to clarify the circumstances under which relief may be provided for misconduct self-corrected under the DOL's Voluntary Fiduciary Correction Program.
The CFPB analyzed complaints relating to crypto assets between October 2018 and September 2022 and found that the complaint rate increased year to year. The CFPB questioned whether crypto asset platforms are effectively monitoring for misconduct.