26 March 2015

Latest articles for Commodity Futures Trading Commission

 

CFTC fines ICE Futures $3 million for reporting errors

16 March 2015  |  165 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against ICE Futures U.S., Inc. (ICE), a designated contract market (DCM), for submitting inaccurate and incomplete reports and data to the CFTC over at least a 20-month period, from at least October 2012 through at least May 2014.

 

CFTC finds deficiencies in market compliance

25 November 2014  |  1704 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission's Division of Market Oversight (Division) today issued three separate rule enforcement reviews of certain Designated Contract Markets (DCMs).

 

CFTC launches SmartCheck campaign to raise awareness on financial fraud

20 November 2014  |  1696 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) today launched CFTC SmartCheck, a new national campaign to help investors identify and protect themselves against financial fraud.

 

CFTC slaps banks with $1.4 billion penalty over FX benchmark rates manipulation

12 November 2014  |  1112 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) issued five Orders filing and settling charges against Citibank N.A. (Citibank), HSBC Bank plc (HSBC), JPMorgan Chase Bank N.A. (JPMorgan), The Royal Bank of Scotland plc (RBS) and UBS AG (UBS) (collectively, the Banks) for attempted manipulation of, and for aiding and abetting other banks' attempts to manipulate, global foreign exchange (FX) benchmark rates to benefit the positions of certain traders.

 

CFTC fines Morgan Stanley Smith Barney for KYC failings

16 September 2014  |  1477 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Morgan Stanley Smith Barney, LLC (Morgan Stanley), a CFTC-registered Futures Commission Merchant, for improper supervision and records violations.

 

Industry lobby attacks CFTC's surveillance plans

06 August 2014  |  862 views  |  0 Company announcement

FIA and the FIA Principal Traders Group sent a letter to the Commodity Futures Trading Commission yesterday, urging the CFTC to leverage existing resources as it works to develop a 21st-century surveillance system.

 

CFTC fines JPMorgan for erroneous large trader reporting

29 July 2014  |  1410 views  |  0 Company announcement

The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against J.P. Morgan Securities LLC (JPMS), a wholly-owned subsidiary of JPMorgan Chase & Co. and a CFTC-registered Futures Commission Merchant (FCM), for submitting inaccurate reports to the CFTC relating to the required reporting of positions held by certain large traders whose accounts are carried by JPMS.

 

CFTC extends designation of DTCC-Swift as LEI provider

29 July 2014  |  938 views  |  0 Company announcement

In order to further the smooth transition to a global system of legal entity identification, the U.S. Commodity Futures Trading Commission (Commission) issued an Amended and Restated Order on July 22, 2014, extending the designation of the utility operated by DTCC-Swift as the provider of legal entity identifiers, or LEIs, pursuant to the Commission's swap data recordkeeping and reporting rules.

 

CFTC commissioner Scott O'Malia quits

22 July 2014  |  858 views  |  0 Company announcement

Today Commissioner Scott D. O'Malia sent the attached letter to President Barack Obama announcing his resignation from the Commission effective August 8, 2014.

 

CFTC and OFR collaborate on swaps data collation

01 April 2014  |  902 views  |  0 Company announcement

The Commodity Futures Trading Commission Acting Chairman Mark Wetjen and Office of Financial Research Director Richard Berner today announced a Memorandum of Understanding on the terms and conditions for the CFTC and OFR to begin a joint project to enhance the quality, types and formats of data collected from registered swap data repositories.

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