Recently, the Department of Justice indicted three precious metals traders in the Northern District of Illinois, charging each them with violating the Racketeer Influenced and Corrupt Organization Act (“RICO”), committing...more
The U.S. Commodity Futures Trading Commission (“CFTC”) sent a strong message to Chief Compliance Officers (“CCO”) this week when it held a CCO held accountable for lying to the National Futures Association (“NFA”) during an...more
9/19/2019
/ Administrative Proceedings ,
Bad Actors ,
CEOs ,
CFTC ,
Chief Compliance Officers ,
Commodity Exchange Act (CEA) ,
Commodity Futures Contracts ,
Enforcement Actions ,
Misappropriation ,
National Futures Association ,
Private Equity Funds