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CFTC Orders An Iowa Introducing Broker And Its Principals To Pay $11.9 Million In Restitution To Farmers And A $1.25 Million Civil Monetary Penalty For Fraud, Unauthorized Trading, And False Statements To The CME, Among Other Violations - Farmers In Iowa, Maryland, Minnesota, Nebraska, And South Dakota Harmed

Date 26/09/2018

The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Kooima & Kaemingk Commodities, Inc. (K&K), Lauren Kaemingk (Kaemingk), and Bradley Kooima (Kooima), all of Iowa, for Kaemingk’s fraud, unauthorized trading, and making false or misleading statements to CME Group Inc. (CME), for a former employee’s fraud, unauthorized trading, and violation of CME position limits in live cattle futures contracts, and for K&K’s, Kaemingk’s, and Kooima’s supervision failures. The CFTC Order requires K&K, Kaemingk, and Kooima to pay $11,920,857.05 in restitution to their customers, which are almost entirely comprised of individual farmers and large-scale farming operations. The Order also requires K&K, Kaemingk, and Kooima to pay a civil monetary penalty of $1,250,000 and orders that they cease and desist from further violations of the Commodity Exchange Act and CFTC regulations, as charged.
CFTC Charges Two Commodity Traders With Attempted Manipulation Of Agricultural Markets

Date 26/09/2018

The Commodity Futures Trading Commission (CFTC) today issued an Order against Adam Flavin (Flavin) and an Order against Peter Grady (Grady), traders at a Commodity Merchandising Firm, filing and settling charges for their attempted manipulation of the price of certain wheat futures and options contracts that were traded on the Chicago Board of Trade (CBOT).
New York Attorney General Underwood Announces Criminal Convictions Of Brokerage Firms TFS-ICAP Limited And TFS-ICAP LLC For Posting Fake Trades To Market - U.K.-Based Brokerage Firm TFS-ICAP Limited, And Its U.S.-Based Affiliate TFS-ICAP LLC, Plead Guilty To Securities Fraud For Posting Fake Trades In Emerging Market Foreign Exchange Currency Options - Companies Must Implement Remedial Procedures Verified By Independent Monitor, Remove High-Level Managers, Pay $1.15 Million In Penalties, And Cooperate In AG’s Ongoing Criminal Investigation Of Managers And Brokers At TFS-ICAP

Date 26/09/2018

Attorney General Barbara Underwood announced the criminal convictions of brokerage firms TFS-ICAP LIMITED and TFS-ICAP LLC for posting fake trades in emerging market foreign exchange currency options to New York-based traders. Today, before New York City Criminal Court Administrative Judge Kevin McGrath, each company pleaded guilty to one count of securities fraud under New York’s Martin Act. In addition to the criminal pleas, both companies executed a civil settlement agreement with the Attorney General’s office, which requires them to implement remedial procedures and policies, retain an independent monitor for two years, remove two high-level managers from any supervisory role related to the brokering of foreign exchange currency options to New York traders, pay $1.15 million in penalties, and cooperate in the Attorney General’s ongoing criminal investigation of managers and brokers at TFS-ICAP LLC and TFS-ICAP LIMITED.
CFTC Swaps Report Update

Date 26/09/2018

CFTC's Weekly Swaps Report has been updated, and is now available.
Nadex Product Schedule For The China And Germany Holidays During The Week Of October 1, 2018

Date 26/09/2018

Due to the China holidays throughout the week of October 1, 2018, there will be no China 50 contracts listed for the duration of the week of October 1, 2018.

Ontario Securities Commission Seeks Applications For Investor Advisory Panel

Date 26/09/2018

The Ontario Securities Commission (OSC) is inviting applications for membership on its Investor Advisory Panel (IAP), which provides an investor perspective on the policy and rule-making initiatives of the OSC.
2018-19 IIROC Board Of Directors Elected - Board Elects New Chair

Date 26/09/2018

At the Annual General Meeting of the Investment Industry Regulatory Organization of Canada (IIROC) on September 25, 2018, nine individuals were elected or re-elected to serve on the IIROC Board of Directors.
Second-Annual Alberta Securities Commission Connect Conference Speakers And Agenda Revealed - Former U.S. Ambassador Gordon Giffin To Provide Keynote Speech

Date 26/09/2018

On October 9th, 2018 the second annual ASC Connect conference will bring together hundreds of market participants to discuss the critical issues and trends affecting the capital markets. The conference includes a full day of informative and interactive plenary sessions led by senior ASC leaders and industry experts, with a range of topics from our expanding enforcement toolbox to how technology is driving change in the capital markets.
CFTC Commitments Of Traders Reports Update

Date 26/09/2018

Corrections for the concentration ratios in the Legacy commitment reports dated September 18, 2018 were made today.
Federal Reserve Issues FOMC Statement

Date 26/09/2018

Information received since the Federal Open Market Committee met in August indicates that the labor market has continued to strengthen and that economic activity has been rising at a strong rate. Job gains have been strong, on average, in recent months, and the unemployment rate has stayed low. Household spending and business fixed investment have grown strongly. On a 12-month basis, both overall inflation and inflation for items other than food and energy remain near 2 percent. Indicators of longer-term inflation expectations are little changed, on balance.