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CFTC Orders Four Financial Institutions To Pay Total Of $260 Million For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods

CFTC Orders Four Financial Institutions To Pay Total Of $260 Million For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods
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.

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Statement Of CFTC Commissioner Kristin N. Johnson Regarding The CFTC's Reaching Over $1 Billion In Civil Monetary Penalties Against Bank-Affiliated Entities For Employees' Offline Communications

Statement Of CFTC Commissioner Kristin N. Johnson Regarding The CFTC's Reaching Over $1 Billion In Civil Monetary Penalties Against Bank-Affiliated Entities For Employees' Offline Communications
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.

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CFTC Charges Alleged Bitcoin Seller and Former Attorney with Multi-Million Dollar Bitcoin Fraud, Imposes Over $5 Million in Restitution

CFTC Charges Alleged Bitcoin Seller and Former Attorney with Multi-Million Dollar Bitcoin Fraud, Imposes Over $5 Million in Restitution
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.

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CFTC Orders The Bank Of Nova Scotia To Pay A $15 Million Penalty For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods

<p><span lang="EN" xml:lang="EN">The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against <span>The Bank of Nova Scotia</span></span><span>, a provisionally registered swap dealer and <span>Scotia Capital USA Inc.</span>, a futures commission merchant, </span><span lang="EN" xml:lang="EN">(collectively BNS Affiliates). The order charges BNS 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> ....

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CFTC Orders HSBC To Pay A $30 Million Penalty For Recordkeeping And Supervision Failures For Widespread Use Of Unapproved Communication Methods

<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> ....

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