WebApr 11, 2024 · (RTTNews) - The Commodity Futures Trading Commission ordered Goldman Sachs & Co. to pay $15 million for violations of Business Conduct Standards applicable to swap dealers. The CFTC found that ... WebJul 5, 2015 · The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) to enforce security-based swap and swap regulatory requirements under Title VII of the Dodd-Frank Act. The SEC accepted …
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WebSep 13, 2024 · Chapters. In October 2024, the US Commodity Futures Trading Commission (CFTC) announced that it had awarded nearly $200 million to a single whistleblower, the largest financial reward ever paid out under any whistleblower programme and a move that reignited the debate about rewards for whistleblowers. In this article, we … WebLate Fee and Suspension of Registration for Noncompliance with Ethics Training Requirements CFTC training ethics requirements mandate that individuals registered as of April 1993 must have completed an ethics training program by April 1996 and must attend refresher courses every three years. newnan movie times
U.S. COMMODITY FUTURES TRADING COMMISSION
WebThe Federal Trade Commission (FTC) is an independent federal regulatory agency charged with the responsibility of promoting fair competition among rivals in the marketplace by … WebJul 1, 2003 · In October 2001, the CFTC issued a Statement of Acceptable Practices ("Statement") for ethics training. This Statement replaces the Commission's … Webc. Member companies shall conduct their activities towards other members in compliance with this Code and all pertinent laws. d. Information provided by member companies and their independent salespeople to prospective or current independent salespeople concerning the opportunity and related rights and obligations shall be accurate and complete. newnan movies ashley park