CFTC Orders Six Financial Institutions to Pay Total of More Than $6 Million for Reporting Failures
October 01, 2019
October 01, 2019
WASHINGTON, Oct. 1 -- The Commodity Futures Trading Commission issued the following enforcement news release:
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- Agency Charges First Ever Violation of Swap-Dealer Risk Management Regulations
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The U.S. Commodity Futures Trading Commission today announced that it issued orders yesterday against HSBC Bank USA, N.A., Societe Generale International Limited, The Northern Trust Company, NatWest Markets Plc, The Bank of New York Mellon, and . . .
* * *
- Agency Charges First Ever Violation of Swap-Dealer Risk Management Regulations
* * *
The U.S. Commodity Futures Trading Commission today announced that it issued orders yesterday against HSBC Bank USA, N.A., Societe Generale International Limited, The Northern Trust Company, NatWest Markets Plc, The Bank of New York Mellon, and . . .