Showing posts with label SWAPS. Show all posts
Showing posts with label SWAPS. Show all posts
Friday, October 2, 2015

CFTC ANNOUNCES DEUTSCHE BANK AG ORDERED TO PAY $2.5 MILLION PENALTY IN CASE INVOLVING SWAPS REPORTING VIOLATIONS AND SUPERVISION FAILURES

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION  September 30, 2015 CFTC Orders Deutsche Bank AG to Pay a $2.5 Million Civil Monetary ...
Sunday, August 9, 2015

MORGAN STANLEY TO PAY $300,000 FINE FOR VIOLATING CUSTOMER PROTECTION RULE AND RELATED SUPERVISION FAILURES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  August 6, 2015 CFTC Orders Morgan Stanley & Co. LLC to Pay a $300,000 Civil Monetar...
Thursday, March 12, 2015

CFTC CHAIRMAN MASSAD'S ADDRESS TO FUTURES INDUSTRY ASSOCIATION BOCA CONFERENCE

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FROM:  U.S. COMMODITY FUTURES TRADING COMMISSION Keynote Address of Chairman Timothy G. Massad before the Futures Industry Association Boca...
Tuesday, September 9, 2014

CFTC CHAIRMAN MASSAD'S TESITMONY BEFORE U.S. SENATE COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS

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FROM:  COMMODITY FUTURES TRADING COMMISSION Testimony of Chairman Timothy Massad before the U.S. Senate Committee on Banking, Housing, ...
Friday, May 16, 2014

CFTC ACTING CHAIRMAN'S TESTIMONY BEFORE SENATE SUBCOMMITTEE

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Testimony of Mark P. Wetjen Acting Chairman, Commodity Futures Trading Commission Before the...
Monday, January 6, 2014

CFTC COMMISSIONER O'MALIA'S DISSENTING STATEMENT ON NON-U.S. SWAP DEALERS

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FROM:  COMMODITY FUTURES TRADING COMMISSION  Dissenting Statement by Commissioner Scott D. O’Malia Request for Comment on Application of ...
Thursday, March 14, 2013

DODD-FRANK SWAPS CLEARING RULES HAVE BEGUN

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FROM: COMMODITY FUTURES TRADING COMMISSION CFTC Announces that Mandatory Clearing Begins Washington, DC – Today, swap dealers, maj...