Have a Claim?

Click here for a confidential contact or call:


July 12, 2019

Posted  July 12, 2019

Korea Exchange, Inc., based in Busan, Korea, will pay $150,000 and implement financial management standards in settlement of charges by the CFTC that the company falsely certified to the Commission that it was in compliance with specified international financial management standards and testing requirements.  KRX had made the certification in order to maintain its exemption from certain registration requirements.  CFTC

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