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The Commodity Futures Trading Commission (CFTC) has imposed a $1m fine on Citibank and Citigroup Global Markets for failing to comply with certain swap dealer requirements.
The U.S. Commodity Futures Trading Commission (CFTC) has fined Goldman Sachs $1m for failing to make and keep certain audio recordings as needed for compliance under swap dealer regulations.
Four US regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.
US regulators have come together to issue a joint statement reminding those engaged with digital asset to meet anti-money laundering (AML) and counter financing terrorism (CFT).
The US Securities and Exchange Commission (SEC) has signed an enhanced memorandum of understanding concerning consultation and cooperation and the exchange of information with the US Commodity Futures Trading Commission (CFTC).
Compliance automation platform Ascent RegTech has revealed a new Federal regulators pack which supports compliance requirements of a number of legislations.
iComply Investor Services has appointed Jeffman Badman, a former senior official of the CFTC, to its advisory board.
The Financial Conduct Authority (FCA) has signed a collaborative arrangement to support FinTech innovation with the US Commodity Futures Trading Commission (CFTC).
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