US Legal & Regulation

CFTC obtains USD7.6m asset freeze in New York fraud matter

Tue, 11/08/2009 - 15:21

The US Commodity Futures Trading Commission has obtained an order freezing USD7.6m in assets held by Janet Schaberg, the ex-wife of Stephen Walsh of Sands Point, New York. »

North Carolina couple charged with USD22.5m foreign currency Ponzi scheme

Tue, 11/08/2009 - 07:14

The US Commodity Futures Trading Commission has charged Sidney S. Hanson, Charlotte M. »

California court imposes fines of USD25m against Safevest and its owners

Mon, 10/08/2009 - 06:58

The Commodity Futures Trading Commission has obtained more than USD25m in civil monetary penalties and equitable relief in orders against Safevest, a firm located in Mission Viejo, Cali »

CFTC includes ICE Futures Europe data in COT reports

Fri, 31/07/2009 - 17:05

The Commodity Futures Trading Commission is including positions of ICE Futures Europe exchange traders of West Texas Intermediate Crude Oil contracts in its weekly Commitments of Trader »

Natural gas contract performs significant price discovery function, says CFTC

Tue, 28/07/2009 - 13:03

The Commodity Futures Trading Commission has issued an order finding that the Henry Financial LD1 Fixed Price contract - a natural gas contract traded on the IntercontinentalExchange, a »

SEC takes steps to curtail abusive short sales and increase market transparency

Tue, 28/07/2009 - 09:00

The Securities and Exchange Commission has announced several actions designed to protect against abusive short sales and make more short sale infor »

Investor groups urge SEC to require ESG disclosure

Thu, 23/07/2009 - 07:04

More than 50 major investment firms and professionals have joined the Social Investment Forum in calling on the Securities and Exchange Commission to require publicly traded companies t »

Florida court fines two for commodity options fraud

Tue, 21/07/2009 - 10:49

The US Commodity Futures Trading Commission has obtained USD280,000 in civil monetary penalties and equitable relief in consent orders of permanent injunction against Randy Burstein of »

MFA reaffirms support for strengthening regulatory oversight

Mon, 20/07/2009 - 13:30

The Managed Funds Association has reaffirmed its support for action by federal policy makers intended to reform, strengthen and modernize America's system of financial regulatory oversi »

Obama administration proposes hedge fund registration

Fri, 17/07/2009 - 07:00

The Obama Administration has announced proposed legislation that would require all advisers to hedge funds and other private pools of capital, including private equity and venture capit »