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  • CFTC Chairman Giancarlo: Bipartisanship, Goodwill And Common Sense Guided CFTC Through Government Shutdown

    Date 28/01/2019

    U.S. Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo issued the following statement regarding the CFTC’s return to operations:

    “Following the Friday evening announcement of the continuing resolution to reopen the government, the CFTC resumed operations.  Today, we enthusiastically welcomed back hundreds of employees to our offices in Washington, Kansas City, Chicago and New York.  We are grateful for the professional manner in which they handled the uncertainty of the shutdown."

  • CFTC Financial Data For Futures Commission Merchants Update

    Date 28/01/2019

    Futures commission merchants (FCMs) and retail foreign exchange dealers (RFEDs) must file monthly financial reports with the CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) within 17 business days after the end of the month. Selected financial information from these reports is published below. The most recent month-end information generally is added within 12 business days after FCMs and RFEDs file their reports, but occasionally may be added later. For example:  The 17th business day filing “due date" for February 28, 2015 financial reports was March 25, 2015.  The 12 business day target for posting these data was April 10, 2015.

  • Shamoil T. Shipchandler, Regional Director Of The SEC’s Fort Worth Regional Office, Has Left The Agency

    Date 28/01/2019

    The Securities and Exchange Commission today announced that Shamoil T. Shipchandler, Director of the Fort Worth Regional Office, left the agency on Friday, January 25.  Under Mr. Shipchandler’s leadership, the Fort Worth office has brought numerous significant enforcement actions and has conducted examination activities that have strengthened compliance in the industry, including filing novel cases involving accounting fraud and cryptocurrency, and providing transparency to regional registrants.

  • Court Orders $1 Billion Judgment Against Operators Of Woodbridge Ponzi Scheme Targeting Retail Investors - Former Owner Robert H. Shapiro Fined $100 Million

    Date 28/01/2019

    The Securities and Exchange Commission today announced that a federal court in Florida ordered Woodbridge Group of Companies LLC and its former owner to pay $1 billion in penalties and disgorgement for operating a Ponzi scheme that targeted retail investors.

  • Federal Reserve Board Will Host Public Research Conference On Its Stress Testing Framework In July

    Date 28/01/2019

    The Federal Reserve Board in July will host a public research conference on its stress testing framework. The conference will bring together academics, regulators, bankers, and other stakeholders to discuss the transparency and effectiveness of the Board's stress tests and how the stress tests can remain a dynamic and useful tool of large bank supervision.