site stats

Cftc compliance officer

Web6 hours ago · The company also hired several former Jefferies executives. California-based Wedbush Securities, a financial services provider, has named Matt Lisle its new Chief Compliance Officer for its Futures division. He will be based in the Chicago office of Wedbush and report directly to Andrew Druch, General Counsel of the company. WebWhat does FTC mean?. Federal Trade Commission (FTC) is a United States federal regulatory agency with a mission to promote consumer protection and prevention of …

Wedbush Names New Compliance Chief as It Enters FX …

Web(6) Information requested of the chief compliance officer. The chief compliance officer shall provide any information regarding the self-regulatory program of the swap execution facility as requested by the board of directors or the senior officer. (c) Duties of chief compliance officer. The duties of the chief compliance officer shall include ... WebMar 28, 2024 · The Commodity Futures Trading Commission is suing crypto exchange Binance and its CEO, Changpeng Zhao, for operating an “intentionally opaque” and allegedly illegal enterprise that violated the Commodity Exchange Act while engaging in “a calculated strategy of regulatory arbitrage to their commercial benefit.”. The CFTC also … my aldi instacart order https://roschi.net

Wedbush Names New Compliance Chief as It Enters FX Prime …

WebJan 22, 2024 · CFTC Staff Issues Guidance Regarding Annual Chief Compliance Officer Reports Updated January 22, 2024 The CFTC’s Division of Swap Dealer and … WebThe chief compliance officer's duties shall include, but are not limited to, the following: (1) Overseeing and reviewing the swap data repository 's compliance with section 21 of the Act and any related rules adopted by the Commission ; (2) In consultation with the board of directors, a body performing a function similar to the board, or the ... Web47 minutes ago · Financial services company Wedbush Securities announced the appointment of Matt Lisle to chief compliance officer of its futures division. Lisle will report to General Counsel Andrew Druch and work closely with the management team of the fixed income, currencies, commodities, and securities finance division. Lisel brings more than … my aldi\u0027s account

FIA flags burdensome requirements in CFTC compliance officer …

Category:SEC, CFTC charge LJM for mishandling $1B in assets; chief risk officer …

Tags:Cftc compliance officer

Cftc compliance officer

www.cftc.gov

Web“The advisory will help CCOs comply with their regulatory requirements and provide the necessary information to the CFTC in an efficient and useful manner,” said DSIO … WebApr 10, 2024 · On March 27, the Commodity Futures Trading Commission (“CFTC”), the U.S. derivatives regulator, charged three Binance entities (collectively “Binance”) and its …

Cftc compliance officer

Did you know?

Web23 hours ago · Matthew Lisle, Senior Vice President, Chief Compliance Officer, Wedbush Securities (Photo: Business Wire) Matt has been a licensed attorney for over 30 years and brings with him more than 25 years ... WebCustomers and other individuals can report suspicious activities or information, such as possible violations of commodity trading laws, to the Division of Enforcement via a toll …

WebMar 29, 2024 · Samuel Lim, Binance’s compliance chief between 2024 and 2024, faces civil charges of undermining Binance’s compliance program and conducting activities to … WebMar 27, 2024 · The case is Commodity Futures Trading Commission v. Zhao et al., case number 1:23-cv-01887 , in the U.S. District Court for the Northern District of Illinois . --Editing by Marygrace Anderson.

WebSep 24, 2024 · An enforcement settlement last week by the U.S. Commodity Futures Trading Commission (CFTC) involving a chief compliance officer (CCO) once again … WebEach application for registration as a futures commission merchant under § 3.10, a swap dealer under § 23.21, or a major swap participant under § 23.21, must include a …

WebSep 15, 2024 · The CFTC guidance is meant to supplement the “Penalty Guidance” the CFTC issued in May 2024 concerning factors that should be considered in …

WebA designated contract market's financial surveillance program for futures commission merchants, retail foreign exchange dealers, and introducing brokers must comply with the requirements of § 1.52 of this chapter to assess the compliance of such entities with applicable contract market rules and Commission regulations. my aldi phone accountWebThe chief compliance officer's duties shall include, but are not limited to: (1) Administering each of the registrant 's policies and procedures relating to its business as a futures … my aldi staff appWebAug 29, 2024 · On August 21, 2024, the Commodity Futures Trading Commission (the “CFTC”) unanimously approved final amendments (the “Amendments”) to its regulations … my alert fiatWebwww.cftc.gov my aldi scheduleWeb(ii) The chief compliance officer shall have supervisory authority over all staff acting at the direction of the chief compliance officer. (2) Qualifications of chief compliance officer. … my alex fairfax countyWebApr 4, 2024 · A cryptocurrency firm with a chief compliance officer found to not be handling the responsibilities of their role seriously is likely to face additional regulatory scrutiny, as … my alegria shoes squeakWeb47 minutes ago · Financial services company Wedbush Securities announced the appointment of Matt Lisle to chief compliance officer of its futures division. Lisle will … my alex schools