The CFTC approved the NFA's Interpretive Notice to NFA Compliance Rules 2-9, 2-36 and 2-49 titled Information Systems Security Programs , requiring member firms to adopt and enforce written policies and procedures to secure customer data and access to their electronic systems. The NFA Interpretive Notice outlined those key areas that electronic Information Systems Security Programs ("ISSPs") must contain: a security and risk analysis; a description of the safeguards against identified system threats and vulnerabilities; the process used to evaluate the nature of a detected security event
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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 a Complaint with the U.S. District Court for the Southern District of Florida against several unregistered individuals and companies for conducting two fraudulent schemes involving binary options and digital assets.
The CFTC added 21 names to a list of foreign entities that are not registered with the CFTC. These entities are suspected of soliciting and accepting funds from U.S. retail investors for trading in binary options or foreign currency.
The CFTC penalized a company and its affiliated futures commission merchant for inaccurately reporting fixed price cash positions in corn and soybeans.