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  • More Optimized Futures Legal Guarantee Expected In An Open And Diversified Era - Dalian Commodity Exchange (DCE) Holds The 6th Futures Legal Theory & Practice Forum

    Date 17/09/2019

    DCE holds the “ 6th Futures Legal Theory & Practice Forum” in Dalian on September 5 to discuss 4 topics on the “new judicial interpretation of futures market manipulation crime and relevant regulations on futures market manipulation by China Securities Regulatory Commission (CSRC)”, the “establishment of diversified dispute settlement mechanism of futures market”, the “legal issues related to diversified participants involved in the Chinese futures market under the opening-up context”, and the “legal issues on the construction and development of the over-the-counter market”. Over 40 persons attend the forum upon invitation, including chiefs of judicial authorities, regulation institutions and self-disciplinary organizations in China and experts from famous law offices at home and abroad.

  • Nadex Temporarily Refrains From Listing GBP/JPY 5-Minute Contracts On Trade Date September 16, 2019

    Date 16/09/2019

    On trade date September 16, 2019, North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) temporarily refrained from listing its Intraday GBP/JPY 5-Minute Currency Binary contracts for the 6:05pm ET expiration time.  The GBP/JPY 5-Minute Currency Binary contracts were relisted beginning with the 6:10pm ET expiration.  This action was taken pursuant to Nadex Rule 12.41(f)(iv)(5).

  • CFTC Unanimously Approves Two Measures In September 16 Open Meeting

    Date 16/09/2019

    At an open meeting today, the U.S. Commodity Futures Trading Commission voted unanimously to approve the following two measures:

  • Remarks Of CFTC Director Of Enforcement James McDonald During CFTC-DOJ Press Conference Call

    Date 16/09/2019

    This morning, the CFTC announced the filing of manipulation and spoofing charges against three individuals who served as executives and traders on the same trading desk of a major U.S. financial institution.  Michael Nowak and Gregg Smith are charged with manipulative conduct and spoofing in the precious metals futures markets in a complaint filed in the United States District Court for the Northern District of Illinois, and Christian Trunz resolved charges of spoofing in an administrative settlement, in which he admitted to the misconduct and agreed to serve as a cooperating witness in this investigation.

  • CFTC Charges Futures Trader And Industrial Firm With Spoofing In Precious Metals Futures

    Date 16/09/2019

    The U.S. Commodity Futures Trading Commission issued two orders today filing and settling charges against John Lawrence and his employer, Heraeus Metals New York LLC, for spoofing — bidding or offering with the intent to cancel the bid or offer before execution.  The order against Lawrence finds he engaged in spoofing from at least May 2017 to January 2018 in silver and gold futures traded on the Commodity Exchange, Inc. (COMEX).  The order against Heraeus finds the firm vicariously liable for Lawrence’s spoofing, which Lawrence engaged in while a trader for Heraeus. This case was brought in connection with the CFTC Division of Enforcement’s Spoofing Task Force.