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Tag Archives: CFTC

CFTC Orders ABN AMRO Clearing to Pay $1 Million to Settle Charges

Jun
19
2013
Posted by Ron Finberg in Regulation
0 Comments

The CFTC has announced that it has ordered ABN AMRO Clearing Chicago LLC to pay $1 million to settle charges against the firm. The charges include failing to segregate or secure sufficient customer funds and meet minimum capital requirements.
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CFTC Says Pay Up! US Regulator Orders Puerto Rican Firm To Pay $1,593,444 For FX Fraud

Jun
18
2013
Posted by Andrew Saks McLeod in Regulation
0 Comments

The Commodity Futures Trading Commission today obtained a court order against Angel F Collazo and his companies ACJ Capital LLC and Solid View Capital LLC for FX fraud, resulting in a $750,000 fine and $843,444 in restitutions.
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CFTC Reports April FCM Data – FXCM Rises and OANDA Declines

Jun
13
2013
Posted by Ron Finberg in Brokers,Regulation
0 Comments

The CFTC reported April financial data for reporting FCMs. For forex firms, there was very little change, as total Retail Forex Funds dropped $177,260 to $647,759,923. Among gainers, FXCM saw account growth of $4.9 million
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Nicholas Stadel Joins Forest Park FX as Director of Sales and Marketing

Jun
13
2013
Posted by Ron Finberg in Executive Moves
1 Comments

Forest Park FX, a new CFTC registered Introducing Broker, announced that it has hired Nicholas Stadel as its Director of Sales and Marketing. (Forest Park FX is also one of the IBs that was selected for OANDA’s new partners program …
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Spot or Swap? CFTC Defines Rolling Spot Transactions As Swap In Retail FX

Jun
10
2013
Posted by Andrew Saks McLeod in Breaking News,Regulation
2 Comments

The Dodd-Frank Wall Street Reform Act continues to include regulatory direction relating to defining the framework around which swaps should be overseen, and to provide clarity as to what constitutes a swap. This has now been extended to rolling spot …
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The Aftermath of US Regulatory Warning Against Binary Options – Software Providers to Partner with NADEX

Jun
10
2013
Posted by Andrew Saks McLeod in Regulation
4 Comments

The United States regulatory authorities’ position is unquestionable when it comes to the legalities of off-exchange binary options being marketed within its jurisdiction – The message is clear: Caveat Emptor!
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US Binary Clampdown – SEC Follows CFTC In Issuance of Investor Warnings and Enters Charge Against Banc De Binary

Jun
7
2013
Posted by Andrew Saks McLeod in Regulation
4 Comments

Further to yesterday’s announcement by the CFTC that it intends to charge Banc de Binary for offering off-exchange binary options in the US, the SEC today cites the firm for the same transgression.
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Looking for a Job? The NFA is Hiring

Jun
6
2013
Posted by Ron Finberg in Regulation
0 Comments

The NFA has announced that they approved their Fiscal Year 2014 budget. The budget, for the fiscal year which starts on July, 1 2013 is for $74 million, an 18% increase above last year, with the majority going towards new hiring
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Banc De Binary Gets Charged by the CFTC – Investor Warning Also Issued Across The US

Jun
6
2013
Posted by Andrew Saks McLeod in Regulation
5 Comments

Binary options firm Banc de Binary falls foul of US regulator CFTC for violating the off-exhange options trading ban and operating as an unlicenced FCM despite claiming to be based in New York’s Wall Street.
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The Falcon Is Still In Flight – Major US Bank Embroiled In Misappropriation of PFG Client Funds

Jun
5
2013
Posted by Andrew Saks McLeod in Regulation
1 Comments

Almost a year has passed since the CFTC began investigating the activities of Peregrine Financial Group and its alleged misappropriation of client funds. Now US Bank under regulatory spotlight due to similar accusations.
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Is WebMoney the Next Liberty Reserve?

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Nicholas Stadel, Director of Sales and Marketing, Forest Park FX

Nicholas Stadel Joins Forest Park FX as Director of Sales and Marketing

Forest Park FX, a new CFTC registered Introducing Broker, announced that it has hired Nicholas Stadel as its Director of Sales and Marketing. (Forest Park...

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Connecting Via The Cloud: CFN Services Launches TradingHUB, Linking Market To International Venues with Single Connection

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