WebNotices of Covered Actions. After submitting a tip, complaint, or referral , wait for the Whistleblower Office to post a Notice of Covered Action.When the Commission obtains a judicial or administrative order that—by itself or together with judgments or orders in related Commission enforcement actions—imposes monetary sanctions exceeding $1,000,000, … WebAug 16, 2013 · IntroductionOn August 12, 2013, the U.S. Commodity Futures Trading Commission adopted final regulations with respect to commodity pool operators (“CPOs”) of registered investment companies (“RICs”).1 The CFTC’s action will permit CPOs to RICs to satisfy the disclosure, reporting, and recordkeeping requirements that would otherwise …
Rules NFA
WebAug 28, 2024 · The U.S. Congress enacted the Class Action Fairness Act (CAFA) to protect consumers and to prevent potential attorney’s fee abuses. CAFA, as defined in 28 U.S.C. § 1711 – 1715, imposes an obligation on all class action defendants to serve notices of proposed class action settlements to “appropriate federal officials” in the states in which … WebApr 14, 2024 · CFFEX Notice〔2024〕 No.18. All member entities, Pursuant to the Trading Rules of China Financial Futures Exchange and relevant detailed implementation rules, the last trading day of a CSI 300 Index futures, SSE 50 Index futures, CSI 500 Index futures, CSI 300 Index options, CSI 1000 Index futures, CSI 1000 Index options, and SSE 50 … hindsight group
Who Receives CAFA Notices? Kroll
http://www.cffex.com.cn/en_new/Notices/20240414/32102.html WebThe information must have led to a successful resolution of CFTC action or a Related Action; The whistleblower, upon CFTC staff’s request, must provide certain additional information; The whistleblower must have submitted an award application (Form WB-APP) in response to a Notice of Covered Action or a final judgment in a Related Action or both WebJul 1, 2003 · interpretive notice In October 2001, the CFTC issued a Statement of Acceptable Practices ("Statement") for ethics training. This Statement replaces the Commission's prescriptive ethics training rule and allows flexibility in the format, frequency and providers of ethics training, permitting each firm to tailor its training program to better ... homemade frosting without powdered sugar