Tag: swaps trading

August 19, 2015 BY Mike Fox

CFTC orders INTL FCStone to pay a $200K penalty for failure to supervise swaps trading

FCStone did not have sufficient procedures or controls in place to monitor discretionary trading during the relevant period.

June 17, 2015 BY Maria Nikolova

US court imposes $1.2 million penalty for fraud, unauthorized swaps trading

Gregory Christopher Evans has to pay a penalty of more than $1.2 million and is banned from registering with the CFTC and engaging in commodity-related activity.

Tag: swaps trading

CFTC orders INTL FCStone to pay a $200K penalty for failure to supervise swaps trading

US court imposes $1.2 million penalty for fraud, unauthorized swaps trading

ATFX Connect at FMLS 2024: Showcasing Leadership and Innovation in Finance

Wedbush Supports 24-Hour US Equity Trading For Correspondent Clients

HKEX Appoints Chief Sustainability and Group Chief Communications Officer

SEC Chair Gary Gensler to Step Down on 20 January

IC Markets Global and World Table Tennis (WTT) Renew Partnership