Tag: CFTC
CFTC slaps Citibank with $1m fine for violating swap dealer regulation
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.
Goldman Sachs fined $1m for failing to record communications
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 regulators join the Global Financial Innovation Network
Four US regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.
US regulatory bodies issue statement on digital assets
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).
SEC and CFTC sign enhanced MoU on information exchange
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).
Ascent RegTech reveals new regulators pack to support compliance with more...
Compliance automation platform Ascent RegTech has revealed a new Federal regulators pack which supports compliance requirements of a number of legislations.
iComply adds former Senior Official of the CFTC to advisory board
iComply Investor Services has appointed Jeffman Badman, a former senior official of the CFTC, to its advisory board.
UK and US regulators collaborate on FinTech innovation
The Financial Conduct Authority (FCA) has signed a collaborative arrangement to support FinTech innovation with the US Commodity Futures Trading Commission (CFTC).
