In an advisory announced February 25, 2025, the Division of Enforcement of the Commodity Futures Trading Commission (CFTC or Commission) announced a new regime for assessing cooperation credit in determining fines in the...more
3/6/2025
/ CFTC ,
Compliance ,
Cooperation ,
Disclosure Requirements ,
Enforcement Actions ,
Financial Regulatory Reform ,
Good Faith ,
Mitigation ,
Remediation ,
Reporting Requirements ,
Self-Reporting ,
Settlement ,
Voluntary Disclosure
On February 12, 2018, the Commodity Futures Trading Commission (CFTC) settled charges against AMP Global Clearing LLC (AMP), a futures commission merchant (FCM), for the company’s failure to adequately supervise one of its IT...more
3/13/2018
/ CFTC ,
Civil Monetary Penalty ,
Cybersecurity ,
Data Breach Plans ,
Data Loss Prevention ,
Data Protection ,
Enforcement Actions ,
Information Governance ,
Information Systems Security Program (ISSP) ,
Personally Identifiable Information ,
Popular ,
Third-Party Service Provider ,
Vendors
The Federal Energy Regulatory Commission’s (FERC’s) Office of Enforcement (Enforcement) recently released its annual report on enforcement activities for 2014. As is typical, Enforcement identified its primary concerns as...more