Commodity Futures Trading Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Wed, 16 Oct 2024 19:40:03 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Commodity Futures Trading Commission – Investment Executive https://www.investmentexecutive.com 32 32 CFTC alleges Canadian firm ran a Ponzi scheme https://www.investmentexecutive.com/news/from-the-regulators/cftc-alleges-canadian-firm-ran-a-ponzi-scheme/ Wed, 16 Oct 2024 18:52:00 +0000 https://www.investmentexecutive.com/?p=494893 Court issues asset freeze, sets hearing for end of October

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]]> CFTC brings first carbon market fraud case https://www.investmentexecutive.com/news/from-the-regulators/cftc-brings-first-carbon-market-fraud-case/ Thu, 03 Oct 2024 18:02:52 +0000 https://www.investmentexecutive.com/?p=493876 Company allegedly overstated impact of its work to obtain unwarranted carbon offset credits

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]]> CFTC sanctions Barclays’ swaps reporting https://www.investmentexecutive.com/news/from-the-regulators/cftc-sanctions-barclays-swaps-reporting/ Tue, 01 Oct 2024 18:14:20 +0000 https://www.investmentexecutive.com/?p=493733 Firm's lower fine reflects cooperation, remediation efforts, regulator says

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]]> CIBC chronically late with trade reporting: CFTC https://www.investmentexecutive.com/news/from-the-regulators/cibc-chronically-late-with-trade-reporting-cftc/ Wed, 25 Sep 2024 18:14:42 +0000 https://www.investmentexecutive.com/?p=493393 Bank fined US$1.25 million over swaps reporting shortcomings

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]]> CIBC, Canaccord get knuckles rapped by CFTC, SEC https://www.investmentexecutive.com/news/from-the-regulators/cibc-canaccord-get-knuckles-rapped-by-cftc-sec/ Tue, 24 Sep 2024 18:37:00 +0000 https://www.investmentexecutive.com/?p=493348 Firms fined by U.S. regulators for off-channel communications

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]]> CFTC sanctions broker’s texting violations https://www.investmentexecutive.com/news/from-the-regulators/cftc-sanctions-brokers-texting-violations/ Mon, 23 Sep 2024 21:21:00 +0000 https://www.investmentexecutive.com/?p=493295 SEC opts not to penalize investment adviser that self-reported violations

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]]> Forex, crypto fraudster ordered to pay US$36 million https://www.investmentexecutive.com/news/from-the-regulators/forex-crypto-fraudster-ordered-to-pay-us36-million/ Fri, 20 Sep 2024 21:26:53 +0000 https://www.investmentexecutive.com/?p=493246 Court orders restitution, civil penalties alongside jail term

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]]> CFTC issues first voluntary carbon markets guidance https://www.investmentexecutive.com/news/from-the-regulators/cftc-issues-first-voluntary-carbon-markets-guidance/ Fri, 20 Sep 2024 17:58:19 +0000 https://www.investmentexecutive.com/?p=493209 Regulator seeks to facilitate growth of fair, liquid and transparent emissions trading

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]]> U.S. court orders disgorgement in binary options case https://www.investmentexecutive.com/news/from-the-regulators/u-s-court-orders-disgorgement-in-binary-options-case/ Mon, 09 Sep 2024 19:38:51 +0000 https://www.investmentexecutive.com/?p=492315 Investors lost over US$100 million in illegal scheme, CFTC alleges

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]]> CFTC sanctions benchmark manipulation https://www.investmentexecutive.com/news/from-the-regulators/cftc-sanctions-benchmark-manipulation/ Tue, 27 Aug 2024 20:58:01 +0000 https://www.investmentexecutive.com/?p=491699 Swiss firm sold gas cheap to benefit short position, regulator alleges

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