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27 results found

Article

Stinson LLP | USA | 8 Apr 2015

CFTC taking action on inaccurate reporting

The Commodity Futures Trading Commission (CFTC) is increasingly taking action on inaccurate reporting by market participants. In the past year, the

Article

Stinson LLP | USA | 12 Feb 2015

Asset manager hedging results fined for failing to register as a Commodity Trading Advisor

On January 16, 2015, the Commodity Futures Trading Commission (CFTC) fined an asset manager, using financial instruments to hedge its clients' risk

Article

Stinson LLP | USA | 30 Dec 2014

2014 CFTC enforcement report another year of record sanctions

On November 6, 2014, the Commodity Futures Trading Commission (CFTC) released its 2014 fiscal year Enforcement Report. In 2014, the CFTC continued

Article

Stinson LLP | USA | 13 Oct 2014

Spoofing back in the news first criminal indictment for spoofing; CFTC settlement lays out telltale signs of spoofing

Last week the government handed down its first criminal indictment for allegedly engaging in "spoofing" and the Commodity Futures Trading Commission

Article

Stinson LLP | USA | 6 May 2014

Auditors of Futures Commission Merchants: know the audit rules or you will be fined

A recent $100,000 settlement between the Commodity Futures Trading Commission (CFTC) and an accounting firm highlights for accounting firms

Article

Stinson LLP | USA | 26 Mar 2014

CFTC opens broad inquiry into swap data recordkeeping and reporting

Following up on its January 21, 2014, formation of an interdivisional staff working group (Working Group) to review its swap data reporting and other

Article

Stinson LLP | USA | 17 Feb 2014

Make CFTC Large Trader Report available to FERC by the end of February, eight democratic Senators tell CFTC Chairman

On February 7, 2014, eight United States Senators told Acting Commodity Futures Trading Commission Chairman Mark Wetjen to either (1) make the CFTC's

Article

Stinson LLP | USA | 6 Dec 2013

Second recent CFTC “banging the close” case results in various CEA violations, fines, trading bans

On November 25, 2013, the Commodity Futures Trading Commission (CFTC) settled with Daniel Shak and SHK Management LLC (collectively Respondents)

Article

Stinson LLP | USA | 21 Nov 2013

Protecting a position by “banging the close” and “spoofing” will be penalized the CFTC

On November 6, 2013, the Commodity Futures Trading Commission filed suit against Donald R. Wilson and his company, DRW Investments, for "banging the

Article

Stinson LLP | USA | 13 Nov 2013

“Red flags” of market manipulation and effective compliance programs

Last week current and former supervisory personnel in the Enforcement Divisions of the Commodity Futures Trading Commission and Federal Energy

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