A registered futures commission merchant settled CFTC charges for failing to supervise adequately the monitoring of its customers' trading.
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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.
A futures commission merchant settled CFTC charges for failing to (i) implement an adequate AML program, (ii) impose risk-based trading position limits on a customer's accounts and (iii) maintain customer records for a substantial period of time.
The CFTC Market Participants Division reminded non-U.S. swap dealers that rely on substituted compliance of their CCO annual report obligations.