The International Organization of Securities Commissions’ technical committee has published a final report containing high level principles for the effective regulation of short selling
The US Commodity Futures Trading Commission (CFTC) has fined Andrew W Daniels of Hinsdale, Ill, Edward Taylor of Naperville, Ill, and Daniels Trading Group LLC (DTG) of Chicago, Ill, for violating speculative position limits in the Chicago Board of Trade’s
Cordium has acquired Zodiac Advisory Services, a provider of compliance, risk, accounting and governance services for the investment management industry in Malta. 

 The acquisition is Cordium’s third in as many months, following the purchases of The Sigma Partnership and
In late January 2014 the National Futures Association (NFA) announced to its membership they were: “…reviewing the current regulatory structure applicable to Commodity Pool Operator (“CPO”) and Commodity Trading Advisor (CTA) operations. In particular, NFA is looking at ways to strengthen
Charlie McCreevy, the European Commissioner responsible – albeit reluctantly – for the draft EU Directive on Alternative Investment Fund Managers, has announced plans for tighter regulatio
The Commodity Futures Trading Commission (CFTC) has filed a civil enforcement action against Dro Kholamian of Barrington, Illinois, and his company, Blue Star Trading, LLC (Blue Star), an Illinois limited liability company with an office in Park Ridge, Illinois.
The European Securities and Markets Authority (ESMA) has published a call for evidence on the evaluation of the EU regulation on short selling and certain aspects of credit default swaps (SSR). This follows receipt of a formal mandate from the
The US Commodity Futures Trading Commission (CFTC) has issued permission to Eurex Clearing AG (Eurex) to begin clearing swap transactions on behalf of customers of futures commission merchants (FCMs), providing US customers with another option for clearing their swap transactions.
Commodity trader Lon Olen Friedrichsen (Friedrichsen) of Alton, Iowa is to pay USD2.1 million to settle a CFTC charges relating to a fraudulent scheme to illegally trade NYMEX West Texas Intermediate Light Sweet Crude Oil futures contracts on behalf of
The European Securities and Markets Authority (ESMA) has published its first report on trends, risks and vulnerabilities in European Union securities markets and a risk dashboard for the fourth quarter 2012. The report looks at the performance of securities markets
