A Connecticut-based commodities firm settled CFTC charges for trading on misappropriated material non-public information.
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The CFTC charged multiple entities for falsely claiming to be registered with the CFTC and NFA in connection with commodities offerings.
The CFTC filed charges against a trading firm and its CEO for engaging in "manipulative and deceptive" trading practices in the natural gas futures and crude oil futures markets.
In an FIA and SIFMA Asset Management Group flash poll conducted in January 2023, the associations found that - largely due to the regulatory environment - members expect further consolidation in the derivatives industry and a decrease in product offerings.
A federal jury convicted two former precious metal traders on charges of (i) fraud, (ii) attempted price manipulation and (iii) spoofing for their involvement in a multi-year market manipulation scheme.