Tag: CFTC

In a recent post, RegTech firm Eventus outlined key reasons why practitioners must be the key drivers behind trade compliance. 

In a significant move underscoring its commitment to fight market manipulation, the Commodity Futures Trading Commission (CFTC) imposed a fine of $45m on a top-tier bank in May 2023. Eventus, a multi-asset class trade surveillance, algo monitoring and risk controls solutions provider, has explored what firms can do to avoid a similar incident. 

As crypto firms face a challenges, regulators have launched investigations into companies' GRC arrangements.

eFlow Global recently outlined some of the biggest challenges around navigating market abuse enforcement and future implications.

Five US investment bank giants are reportedly faced with $1bn in fines for failing to monitor employees using unauthorised messaging apps.

The Commodity Futures Trading Commission (CFTC) has issued a $500,000 fine to UBS for alleged violations of audio recording regulations.

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.

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 regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.

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).