WebApr 11, 2024 · The Commodity Futures Trading Commission has issued an order simultaneously filing and settling charges against Goldman Sachs & Co. for violations of the CFTC’s Business Conduct Standards applicable to swap dealers. Specifically, the CFTC found that Goldman failed to disclose dozens of pre-trade-mid-market marks (PTMMM), … WebCustomers and other individuals can report suspicious activities or information, such as possible violations of commodity trading laws, to the Division of Enforcement via a toll …
Goldman Sachs to pay $15 mln fine for swap disclosure violations
WebSep 25, 2024 · Civil Penalties. Due to provisions outlined in the Federal Civil Penalties Inflation Adjust Act, authorities increased the maximum dollar amount for certain FTC … Web2 days ago · The CFTC seeks restitution, disgorgement, civil monetary penalties, permanent trading and registration bans, and a permanent injunction against further violations of the Commodity Exchange Act ... neon photoshop filter
The CFTC Begins Policing AML Enforcement - Orrick, Herrington …
WebSep 27, 2024 · Cantor Fitzgerald & Co. has agreed to pay a $10 million penalty. “Finance, ultimately, depends on trust. By failing to honor their recordkeeping and books-and … WebCFTC’s recent foray into AML enforcement has not been limited to registered entities with endemic AML violations involving millions of dollars in undetected fraud; the regulator brought one case involving a single failure to file an SAR, as a follow-on to an action alleging unauthorized trading. WebMar 27, 2024 · Binance and Its CEO Sued by CFTC Over US Regulatory Violations (Bloomberg) -- The US took its most forceful move yet on Monday to crack down on crypto exchange Binance Holdings Ltd. and its... neon physical state at room temperature