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.
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The NFA Business Conduct Committee issued a complaint against an introducing broker and its CEO for registration and supervision violations.
A futures commission merchant settled CFTC charges for supervisory failures concerning the handling of customer accounts "by not adequately preparing and configuring its electronic trading system" before a negative futures price event affecting sweet crude oil futures contracts.
An introducing broker and its founder settled CFTC charges for misappropriating inside information and paying brokerage kickbacks.
NFA announced the effective date of rule amendments designed to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.