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<p><span>Today, the Commodity Futures Trading Commission (Commission or CFTC) announced a settlement agreement with J.P. Morgan Securities LLC (J.P. Morgan) following over a decade of trade surveillance supervision failures in violation of Regulation 166.3.</span></p>
<p><span>The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against </span><span>J.P. Morgan Securities LLC</span><span>, a registered futures commission merchant and swap dealer, for failing diligently to supervise its business as a CFTC registrant, resulting in J.P. Morgan failing to capture billions of orders in its surveillance systems.</span></p>
The Commodity Futures Trading Commission announced it filed a civil enforcement action in the U.S. District Court for the Northern District of Texas against Agridime LLC.
The Commodity Futures Trading Commission today continued its enforcement focus in the digital asset decentralized finance (DeFi) space, by issuing orders simultaneously filing and settling charges against Opyn, Inc., a Delaware-registered company based in California; ZeroEx, Inc., a Delaware company based in California; and Deridex, Inc., a Delaware company based in North Carolina.
<p><span lang="EN" xml:lang="EN">The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges against <span>The Bank of Nova Scotia</span></span><span>, a provisionally registered swap dealer and <span>Scotia Capital USA Inc.</span>, a futures commission merchant, </span><span lang="EN" xml:lang="EN">(collectively BNS Affiliates). The order charges BNS Affiliates with </span><span>failing to maintain, pr...