The United States National Futures Association (NFA) today announces that it has permanently barred commodity trading advisor Accusigma Corporation and…
Read MoreTag: US financial regulation
CFTC charges North American Asset Management and its owners with illegal, off-exchange precious metals trading
The U.S. Commodity Futures Trading Commission (CFTC) has once again shown its strictness when it comes to following the provision…
Read MoreUS Court imposes $3M penalty on couple over illegal, off-exchange precious metals transactions
For the third time in less than a week, the US authorities have acted against law violations concerning precious metals…
Read MoreCourt imposes $2.5M penalty on Worth Group and its principals for illegal off-exchange precious metals scheme
US regulators have once again acted against violations of the Dodd-Frank Act, and the provision against financed precious metals transactions…
Read MoreCFTC charges Oakmont Financial, Joseph Charles DiCrisci over illegal, off-exchange precious metals trading
The U.S. Commodity Futures Trading Commission (CFTC) has once again shown its rigidity when it comes to following the the…
Read MoreUS DOJ requests more information about Tullett Prebon – ICAP deal
Tullett Prebon Plc (LON:TLPR) has earlier today issued an update about the proposed acquisition of the global hybrid voice broking and…
Read MoreNFA bars introducing broker CC Trading
The United States National Futures Association (NFA) today highlighted again the importance of its members meeting capital requirements. The NFA…
Read MoreCFTC registers 18 swap execution facilities
The United States Commodity Futures Trading Commission (CFTC) today issued Orders awarding registration to 18 swap execution facilities (SEFs). The…
Read MoreImportance of Trade Reporting systems: Macquarie fined $3 million
The Financial Industry Regulatory Authority (FINRA) today announced it has imposed a fine of $2.95 million on Macquarie Capital (USA)…
Read MoreCFTC approves tighter cybersecurity rules for Derivatives Clearing Organizations, Trading Platforms, Swap Data Repositories
Cybersecurity has been in the focus of US financial regulators over the past several months. In October this year, the…
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