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

Seaport Global Securities Fined $125k By FINRA

easyMarkets and Real Madrid Renew Collaboration Agreement

Nordic Capital Closes Evolution II Fund at €2bn Hard Cap After Rapid Fundraising

ATFX Africa: Empowering Traders Across South Africa

Swoosh Finance: ASIC Alleges Breach of Responsible Lending Obligations