Commodity Futures Trading Commission | Investment Executive https://www.investmentexecutive.com/post_company/commodity-futures-trading-commission/ Canada's news source for financial professionals Wed, 26 Nov 2025 22:12:32 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Commodity Futures Trading Commission | Investment Executive https://www.investmentexecutive.com/post_company/commodity-futures-trading-commission/ 32 32 Ex-trader gets prison time in mismarking case https://www.investmentexecutive.com/uncategorized/ex-trader-gets-prison-time-in-mismarking-case/ Thu, 27 Nov 2025 11:00:13 +0000 https://www.investmentexecutive.com/?p=526399 Fraudster hid US$240 million in trading losses to secure large bonus

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]]> Court orders sanctions in precious metals scheme https://www.investmentexecutive.com/news/court-orders-sanctions-in-precious-metals-scheme/ Fri, 21 Nov 2025 16:17:23 +0000 https://www.investmentexecutive.com/?p=525972 Parallel cases by SEC, CFTC and state regulators result in restitution, penalties

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]]> Over U.S. objection, IOSCO consults on disclosure https://www.investmentexecutive.com/news/over-u-s-objection-iosco-consults-on-disclosure/ Mon, 03 Nov 2025 20:47:10 +0000 https://www.investmentexecutive.com/?p=524393 SEC, CFTC object to sustainability-related disclosure recommendation

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]]> Firm sanctioned for cherry picking trades https://www.investmentexecutive.com/news/from-the-regulators/firm-sanctioned-for-cherry-picking-trades/ Thu, 18 Sep 2025 16:51:49 +0000 https://www.investmentexecutive.com/?p=520592 Profitable crypto, FX trades allocated to proprietary accounts over investor pools

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]]> SEC, CFTC delay private fund reporting, again https://www.investmentexecutive.com/news/from-the-regulators/sec-cftc-delay-private-fund-reporting-again/ Wed, 17 Sep 2025 20:06:55 +0000 https://www.investmentexecutive.com/?p=520482 Regulators push back compliance deadline a third time, to Oct. 1 2026

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]]> CFTC settles with ex-CEO of failed crypto firm https://www.investmentexecutive.com/news/from-the-regulators/cftc-settles-with-ex-ceo-of-failed-crypto-firm/ Wed, 17 Sep 2025 07:41:00 +0000 https://www.investmentexecutive.com/?p=520349 Exec sanctioned in settlement for alleged violations of derivatives rules

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]]> Court sanctions forex fraud: CFTC https://www.investmentexecutive.com/news/from-the-regulators/court-sanctions-forex-fraud-cftc/ Wed, 13 Aug 2025 19:19:52 +0000 https://www.investmentexecutive.com/?p=517455 Eight-year-old enforcement action finally ends in sanctions

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]]> Guilty plea in crypto Ponzi case https://www.investmentexecutive.com/news/from-the-regulators/guilty-plea-in-crypto-ponzi-case/ Wed, 30 Jul 2025 04:30:00 +0000 https://www.investmentexecutive.com/?p=516366 Scheme allegedly promised high returns from AI-powered trading bots

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]]> SEC, CFTC settle with fund managers https://www.investmentexecutive.com/news/from-the-regulators/sec-cftc-settle-with-fund-managers/ Wed, 02 Jul 2025 19:26:39 +0000 https://www.investmentexecutive.com/?p=514208 Firms misled investors about risk of funds' trading strategy, regulators alleged

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]]> Jail time for crypto Ponzi schemer https://www.investmentexecutive.com/news/from-the-regulators/jail-time-for-crypto-ponzi-schemer/ Wed, 02 Jul 2025 19:21:06 +0000 https://www.investmentexecutive.com/?p=514217 More than US$40M raised from investors on false promise of automated trading returns

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