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Tag: Commodities Futures Trading Commission (CFTC)

Caroline Pham, commissioner, CFTC

CFTC commissioner: no evidence of CFTC violation in recordkeeping case 

Alex Pugh - 0
Gurbir Grewal, director of division of enforcement, SEC

Firms hit with CFTC, SEC recordkeeping and communication failure fines 

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Joshua Barraclough, founder and CEO of One Trading

Regulatory Round-up August

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Georgina Jarratt, Head of Fintech and Digitalisation, ICMA

Regulatory Round-Up July

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Jo Burnham, OpenGamma

CFTC confirms stability of derivatives clearing firms

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Eric Werner, SEC

Regulatory Round-up June

Alex Pugh - 0
Caroline Pham, commissioner, CFTC

Regulatory Round-Up June

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Gary Gensler, chairman, SEC

Regulatory Round-Up

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Christy Romero, TAC chair, CFTC commissioner

CFTC technology committee makes ‘responsible’ AI recommendations

Alex Pugh - 0

CFTC names Ted Kaouk agency’s first chief AI officer

Alex Pugh - 0
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