Tag: CFTC
Navigating market abuse enforcements: current focus and future implications
eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.
5 US investment banks face $1bn in fines
Five US investment bank giants are reportedly faced with $1bn in fines for failing to monitor employees using unauthorised messaging apps.
UBS issued $500,000 fine from CFTC
The Commodity Futures Trading Commission (CFTC) has issued a $500,000 fine to UBS for alleged violations of audio recording regulations.
CFTC slaps Citibank with $1m fine for violating swap dealer regulation
The Commodity Futures Trading Commission (CFTC) has imposed a $1m fine on Citibank and Citigroup Global Markets for failing to comply with certain swap dealer requirements.
Goldman Sachs fined $1m for failing to record communications
The U.S. Commodity Futures Trading Commission (CFTC) has fined Goldman Sachs $1m for failing to make and keep certain audio recordings as needed for compliance under swap dealer regulations.
Four US regulators join the Global Financial Innovation Network
Four US regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.
US regulatory bodies issue statement on digital assets
US regulators have come together to issue a joint statement reminding those engaged with digital asset to meet anti-money laundering (AML) and counter financing terrorism (CFT).
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