The CFTC issued Orders permitting the clearing activities of the Taiwan Futures Exchange and ICE NGX Canada.
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Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.
The SEC and the CFTC ordered significant civil monetary penalties for recordkeeping violations in connection with unauthorized off-channel communication methods.
A broker-dealer firm settled CFTC charges for engaging in market manipulation of issuer swaps.
A swap dealer and its affiliated broker-dealer/FCM settled CFTC and SEC charges for failing to (i) prohibit the use of unapproved communication methods, (ii) maintain and produce required records and (iii) adequately supervise its businesses.