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January 13, 2016

Posted  January 13, 2016

Otkritie Capital International, Ltd., a London-based financial services company, agreed to pay a $140,000 penalty to settle charges that it violated CFTC Regulation 30.4 by permitting two of its U.S. customers to trade futures and options in foreign markets while not registered as a futures commission merchant.  CFTC

Tagged in: Fraud in CFTC-Regulated Markets, Regulatory Violations,