The changes harmonize the CFTC’s rules with the SEC’s
The CFTC’s new report also played up its parallel criminal cases
Rule requires P&Ps to protect customer records and information
New rules take effect with the first of the year
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision
Only when informed by the counterparty of irregularities did Wells seek to investigate and remedy its violations
“The industry looks to these types of resolutions in structuring their own compliance” programs
A “language barrier and certain cultural differences” blamed for regulator woes
CPO barred for misbehavior
RELEASE Number 8062-19 October 24, 2019 CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...