An Aruba-based futures trading subsidiary of a Brazilian sugar and ethanol company settled CFTC charges that it executed illegal wash trades on the ICE Futures U.S. Exchange.
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The SEC settled charges against an accounting firm for failing to properly audit an oil company in 2011.
The CFTC Division of Swap Dealer and Intermediary Oversight granted exemptive relief to several commodity pool operators from certain CPO registration and reporting requirements under the Commodity Exchange Act.
IOSCO published a consultation report containing a series of recommendations that are intended to increase transparency and the availability of public information in the secondary corporate bond markets.
The National Futures Association accepted a settlement offer from a commodity trading advisor concerning allegations that the advisor failed to supervise its operations and employees properly.