Our latest report on keynote speeches at the recent SIFMA event in New York features CFTC Chair Rostin Behnam.
Alex Viall3 min read
The changes to Part 23 include the fine-tuning and harmonization of various rules including the tangible net worth approach and financial reporting requirements.
Thomas Hyrkiel1 min read
The company failed to ensure that thousands of orders were not timely surveilled for spoofing.
Martina Lindberg1 min read
Rule proposed to protect agriculture, energy, metals, and financial markets.
Julie DiMauro2 min read
Civil fine relates to Goldman’s prior recordkeeping failures, but there is some dissent from Commissioners over sanctions.
Julie DiMauro3 min read
This week’s roundup of CFTC actions includes a South African CEO charged for Forex fraud, and details of a precious metals fraud scheme.
Martina Lindberg3 min read
Goldman Sachs failed to disclose PTMMMs, and allegedly traded at times that were financially advantageous to the company and disadvantageous to the clients.
Martina Lindberg1 min read