CFTC Orders Canadian Imperial Bank of Commerce to Pay $30 …
WEB3 days ago · WASHINGTON, D.C. — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges with Canadian Imperial Bank of Commerce (CIBC), a swap dealer, for failing to maintain and preserve records that were required to be kept under CFTC recordkeeping requirements and failing to diligently supervise matters related to its business as a CFTC registrant.
CFTC Orders Canadian Imperial Bank of Commerce to Pay $1.25 …
WEB3 days ago · Washington, DC — The Commodity Futures Trading Commission today issued an order simultaneously filing and settling charges with Canadian Imperial Bank of Commerce (CIBC) for repeatedly failing to timely report swap transactions to a registered swap data repository as required by the Commodity Exchange Act (CEA) and …
CFTC orders Canadian Imperial Bank of Commerce to pay $30 …
WEB2 days ago · The Commodity Futures Trading Commission on Tuesday ordered the Canadian Imperial Bank of Commerce to pay $30 million for recordkeeping and supervision failures, the agency said in a statement.
CIBC settles with U.S. regulators over record-keeping violations
WEB2 days ago · CIBC will pay US$30-million to the Commodity Futures Trading Commission and US$12-million to the Securities and Exchange Commission, the CFTC and SEC said Tuesday. In total, the SEC fined 11 firms ...
SEC, CFTC Charge CIBC With Record-Keeping Penalties
WEB2 days ago · (RTTNews) - Canadian Imperial Bank of Commerce (CM) was charged with penalties by the Securities and Exchange Commission, and the Commodity Futures Trading Commission for failing in record-keeping ...
CIBC Hit With Record-Keeping Penalties in U.S. From CFTC, SEC
WEB2 days ago · The CFTC order imposes a $30 million civil monetary penalty and orders CIBC to cease and desist from further violations of record-keeping and supervision requirements.
CIBC paying US$42 million for U.S. records-keeping violations
WEB2 days ago · TORONTO — CIBC is the latest Canadian bank to face fines for records-keeping violations in the United States. The Commodity Futures Trading Commission (CFTC) has imposed a US$30-million penalty, while the Securities and Exchange Commission announced charges that have led to a US$12-million penalty against two …
CIBC paying US$42 million for U.S. records-keeping violations
WEB2 days ago · TORONTO - CIBC is the latest Canadian bank to face fines for records-keeping violations in the United States. The Commodity Futures Trading Commission (CFTC) has imposed a US$30-million penalty ...
CIBC to pay multimillion-dollar penalty in U.S. over record …
WEB2 days ago · CIBC will pay US$30-million to the Commodity Futures Trading Commission (CFTC) and US$12-million to the Securities and Exchange Commission (SEC), the two regulators said Tuesday. In total, the SEC fined 11 firms more than US$88-million for widespread record-keeping failures. Independent investment bank Canaccord Genuity Group Inc. is the other Canadian name on the list; it agreed to pay a US ...
CIBC, Canaccord get knuckles rapped by CFTC, SEC
WEB2 days ago · CIBC and Canaccord Genuity LLC are facing fines in the latest round of disciplinary actions for records-keeping violations in the United States. On Tuesday, the U.S. Commodity Futures Trading Commission (CFTC) ordered a US$30-million penalty against CIBC, while the U.S. Securities and Exchange ...
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