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  • New York State Department Of Financial Services Linda A. Lacewell's Op-Ed In Law360: We Must Hold Banks Accountable To Stop Money Laundering

    Date 29/09/2020

    The so-called FinCEN Files investigation from the International Consortium of Investigative Journalists and BuzzFeed News showing $2 trillion in suspicious activity reports from global banks over a period of years has generated significant news coverage, and the stock markets shivered.

  • Supporting Statement Of CFTC Commissioner Dan M. Berkovitz Regarding Historic Penalty Against JPMorgan and Opposing “Bad Actor” Waiver

    Date 29/09/2020

    I support today’s Commission action ordering JPMorgan[1] to pay $920 million—the largest monetary settlement in this agency’s history—for manipulating the precious metals and U.S. Treasury futures markets.  However, I oppose the CFTC’s determination that JPMorgan’s conduct should not result in any disqualifications under the “bad actor” provisions of the securities laws, for the reasons outlined below.

  • Joint Statement Of Concurrence Of CFTC Commissioners Dawn D. Stump And Rostin Behnam Regarding JPMorgan Chase & Co., Et Al.

    Date 29/09/2020

    We concur with the Commission’s decision to accept the Offer of Settlement from JPMorgan Chase Bank, N.A.; J.P. Morgan Securities LLC; and JPMorgan Chase & Co. (the “Respondents”).  We concur with the Commission’s findings that the Respondents engaged in unlawful spoofing, manipulation, and attempted manipulation in precious metals and treasuries markets, and that Respondent J.P. Morgan Securities LLC further breached its duty of diligent supervision, all in violation of the Commodity Exchange Act (“CEA”) and the Commission’s regulations.

  • Nasdaq To Hold Third Quarter 2020 Investor Conference Call

    Date 29/09/2020

    Nasdaq (Nasdaq: NDAQ) has scheduled its Third Quarter 2020 financial results announcement.

    WHO: Nasdaq’s CEO, CFO, and additional members of its senior management team
       
    WHAT: Review Nasdaq’s Third Quarter 2020 financial results
       
    WHEN: Wednesday, October 21, 2020 Results Call: 8:00 AM Eastern

    Senior management will be available for questions from the investment community following prepared remarks.

  • CFTC Orders New Jersey Firm To Pay $300,000 For Supervision Violations

    Date 29/09/2020

    The Commodity Futures Trading Commission today issued an order filing and settling charges against registered futures commission merchant Gain Capital Group, LLC, of Bedminster, New Jersey, for supervision violations related to its handling of customer accounts introduced by an independent introducing broker that was subject to a prior CFTC enforcement action for fraud and other violations. The order requires Gain to pay a civil monetary penalty of $300,000 and cease and desist from violating CFTC Regulation 166.3.