Tags CFTC

Tag: CFTC

UBS issued $500,000 fine from CFTC

The Commodity Futures Trading Commission (CFTC) has issued a $500,000 fine to UBS for alleged violations of audio recording regulations.

CFTC slaps Citibank with $1m fine for violating swap dealer regulation

The Commodity Futures Trading Commission (CFTC) has imposed a $1m fine on Citibank and Citigroup Global Markets for failing to comply with certain swap dealer requirements.

Goldman Sachs fined $1m for failing to record communications

The U.S. Commodity Futures Trading Commission (CFTC) has fined Goldman Sachs $1m for failing to make and keep certain audio recordings as needed for compliance under swap dealer regulations.

Four US regulators join the Global Financial Innovation Network

Four US regulatory agencies have joined the Global Financial Innovation Network (GFIN) to improve co-operation among global regulators.

US regulatory bodies issue statement on digital assets

US regulators have come together to issue a joint statement reminding those engaged with digital asset to meet anti-money laundering (AML) and counter financing terrorism (CFT).

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