Tag: US Commodity Futures Trading Commission
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.
UK and US regulators collaborate on FinTech innovation
The Financial Conduct Authority (FCA) has signed a collaborative arrangement to support FinTech innovation with the US Commodity Futures Trading Commission (CFTC).
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