US Legal & Regulation

Two New York residents charged for misappropriating USD554m

Two New York residents charged for misappropriating USD554m

The Securities and Exchange Commission has obtained an asset freeze against two New York residents and their three affiliated entities, who orchestrated an investment fraud involving th »


US court order freezes assets of Illinois commodity pool operator

US court order freezes assets of Illinois commodity pool operator

The US Commodity Futures Trading Commission has obtained a federal court order freezing the assets of an Illinois commodity pool operator, Brookshire Raw Materials Management, and its p »


CFTC seeks freeze of assets in Oklahoma Ponzi scheme involving over USD30m

CFTC seeks freeze of assets in Oklahoma Ponzi scheme involving over USD30m

The US Commodity Futures Trading Commission has filed an enforcement action against Mark S. »


CFTC obtains judgment against commodity pool operator over USD40m scam

CFTC obtains judgment against commodity pool operator over USD40m scam

The US Commodity Futures Trading Commission has announced that judge David C. »


CFTC charges Minnesota commodity pool operator over USD5.5m Ponzi scheme

CFTC charges Minnesota commodity pool operator over USD5.5m Ponzi scheme

The US Commodity Futures Trading Commission has filed an enforcement action against Charles 'Chuck' E. »


SEC charges Wall Street professionals in USD11.6m insider trading ring

SEC charges Wall Street professionals in USD11.6m insider trading ring

The SEC has alleged that two M&A professionals, Nicos Achilleas Stephanou at UBS Investment Bank and Ramesh Chakrapani at Blackstone Advisory Services, tipped five individuals inclu »


Florida judge orders Arthur Nadel to face SEC charges in New York

Florida judge orders Arthur Nadel to face SEC charges in New York

Federal judge Mark A. »


US senators introduce Hedge Fund Transparency Bill

US senators introduce Hedge Fund Transparency Bill

US Senators Chuck Grassley and Carl Levin have introduced legislation designed to close a loophole in securities law that, they argue, currently allows hedge funds to operate under a cl »


Court freezes assets of currency trading firm in fraudulent solicitation case

Court freezes assets of currency trading firm in fraudulent solicitation case

The US Commodity Futures Trading Commission has obtained a federal court order in Rochester, New York, freezing the assets of Atwood & James, Ltd. »


Managed Funds Association supports legislation on financial fraud

Managed Funds Association supports legislation on financial fraud

US-based hedge fund industry body the Managed Funds Association has expressed its support for the announcement of new legislation by Senators Charles E. »


Upcoming events

Upcoming training

Mon, 12/05/2014 (All day) - Dubai
Tue, 13/05/2014 (All day) - Dubai