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<p><span xml:lang="EN" lang="EN">The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against <span>HSBC Bank USA, N.A.</span></span><span>,</span><span> a provisionally registered swap dealer, <span>HSBC Securities (USA) Inc.</span>, a futures commission merchant, and <span>HSBC Bank plc</span>, a provisionally registered swap dealer </span><span xml:lang="EN" lang="EN">(collectively HSBC Affiliates). The order charges HSBC Affiliates with </span><span>failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants.</span></p> ....
<p><span xml:lang="EN" lang="EN">The Commodity Futures Trading Commission today issued an order </span><span xml:lang="EN" lang="EN">simultaneously </span><span xml:lang="EN" lang="EN">filing and settling charges against HSBC Bank USA, N.A. (HSBC), a provisionally registered swap dealer. The order charges HSBC with manipulative and deceptive trading related to swaps with bond issuers, spoofing, and supervision and mobile device recordkeeping failures at various times </span><span>during approximately an eight-year period. </span></p> ....
<p><span>The Commodity Futures Trading Commission today issued orders simultaneously filing and settling charges against swap dealer and futures commission merchant (FCM) affiliates of 11 financial institutions for failing to maintain, preserve, or produce records that were required to be kept under CFTC recordkeeping requirements, and failing to diligently supervise matters related to their businesses as CFTC registrants.</span></p> ....
<p><span>The Commodity Futures Trading Commission today announced that on April 15, a jury in the U.S. District Court in the Western District of Wisconsin issued a verdict finding Edward S. Walczak liable for engaging in conduct that operated as a fraud or deceit upon investors, potential investors, or investment advisors, in violation of Section 4o(1)(B) of the Commodity Exchange Act (CEA).</span></p> ....
CFTC Orders Citibank And Citigroup Global Markets Limited To Pay A $1 Million Penalty For Swap Data Reporting Violations, Related Supervision Failures, And Violation Of A Prior CFTC Order mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.