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CFTC says commodity pool operator mischaracterized risk-management practices
Alleged false or misleading statements were made when describing risk management practices to commodity pool participants and prospects.
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CFTC goes after companies, individuals who perpetrated $283m fraud
Another TD (this time, Traders Domain FX Ltd.) gets put in crosshairs for allegedly lying to customers about what it was doing with their money.
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CFTC fines Piper Sandler for recordkeeping violations; commissioners dissent
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.
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SEC, CFTC ding 12 firms for recordkeeping violations – dissenting voices get louder
The fines totalled over $115m – with one firm dodging the bullet but still finding sympathy from two dissenting commissioners.
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Falcon Labs illegally provided US customers access to digital asset trading platforms
The company has paid over $1.7m to settle charges with the CFTC.
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CFTC amends rules for large trader reports
The changes are intended to give the regulator better insight into large positions and exposures in the futures and options markets.
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Crypto giant Binance accused of ‘calculated strategy’ of avoiding compliance
CFTC moves against Binance while SEC issues Wells Notice on Coinbase.