WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Showing posts with label RISK CONTROLS. Show all posts
Showing posts with label RISK CONTROLS. Show all posts
Wednesday, September 11, 2013

CFTC APPROVED FOR PUBLICATION RISK CONTROLS AND SYSTEM SAFEGUARDS FOR AUTOMATED TRADING

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FROM:  COMMODITY FUTURES TRADING COMMISSION  CFTC Publishes Concept Release on Risk Controls and System Safeguards for Automated Trading En...
Friday, May 31, 2013

CFTC ORDERS FCSTONE LLC TO PAY $1.5 MILLION PENALTY FOR LACKING DILIGENT SUPERVISON

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FROM: U.S. COMMODITY FUTURES TRADING COMMISSION CFTC Orders FCStone LLC to Pay a $1.5 Million Civil Monetary Penalty for Failing to ...
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