TFS-ICAP to pay $7 million fine for misleading clients
The CFTC also found that TFS-ICAP, its former CEO Ian Dibb and its former Emerging Markets desks head Jeremy Woolfenden failed to supervise the broker conduct. The enforcement action resolves that the defendants Dibb and Woolfenden are each to pay a fine of $500,000 for their individual supervisory failures. They have both agreed to not…
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