A futures commission merchant settled charges with the National Futures Association for failing to maintain communications records and for failing to protect customer information.
An introducing broker settled charges with the National Futures Association for failing to comply with recordkeeping requirements and to ensure proper registration of individuals.
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.
A CFTC-registered futures commission merchant ("FCM") settled NFA charges for recordkeeping, reporting, disclosure and supervision failures.
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.