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Tag: Commodities Futures Trading Commission (CFTC)

Raymond Chun, incoming CEO, TD Bank

TD’s Masrani steps down amid regulatory turmoil; Chun named successor

Lucy Carter - 0
Tracy Moore

Regulatory Round-Up September

Alex Pugh - 0
Ian McGinley, director of the enforcement division, CFTC

CFTC fines Nasdaq Futures over “false and misleading statements”

Lucy Carter - 0
Ian McGinley, director of the enforcement division, CFTC

CFTC hits BNYM with penalty over reporting and supervision failures

Lucy Carter - 0
Caroline Pham, commissioner, CFTC

Regulatory Round-Up August

Alex Pugh - 0
Caroline Pham, commissioner, CFTC

CFTC commissioner: no evidence of CFTC violation in recordkeeping case 

Alex Pugh - 0
Gurbir Grewal, director of division of enforcement, SEC

Firms hit with CFTC, SEC recordkeeping and communication failure fines 

Alex Pugh - 0
Joshua Barraclough, founder and CEO of One Trading

Regulatory Round-up August

Alex Pugh - 0
Georgina Jarratt, Head of Fintech and Digitalisation, ICMA

Regulatory Round-Up July

Alex Pugh - 0
Jo Burnham, OpenGamma

CFTC confirms stability of derivatives clearing firms

Alex Pugh - 0
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