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The CFTC is taking on the interdealer broker and its U.S. affiliate, which have already been convicted by the New York Attorney General for fraudulent trading.
The CFTC has charged an English interdealer broker TFS-ICAP Ltd. and its American branch TFS-ICAP LLC with fraud and supervisory failures, and is alleging that a board chairman, CEO and senior manager affiliated with the company were responsible for fraudulent conduct. The regulator’s case follows guilty pleas entered by the U.K. firm and its U.S....
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