The US Commodity Futures Trading Commission has accused Sentinel Management Group, its president and chief executive Eric A. Bloom and former senior vice-president Charles K.
The Honourable Jed S Rakoff, United States District Judge, United States District Court for the Southern District of New York, has entered Final Judgments on Consent as to Jason Pflaum and Walter Shimoon in the SEC’s insider trading case, SEC
The European Securities and Markets Authority (ESMA) has launched a consultation on draft regulatory technical standards (RTS) aimed at implementing the provisions of the European Markets Infrastructure Regulation (EMIR) related to OTC derivative transactions by non-European Union (EU) counterparties and
The US Commodity Futures Trading Commission has obtained a default judgment order against the Lake Shore Group of Companies, 12 commodity pools operating under variations of the name Lake
JP Morgan Worldwide Securities Services has added reporting capabilities for Form PF, the Securities and Exchange Commission’s new regulatory filing for registered investment advisers, to its suite of services. The new reporting capability will provide clients with access to business
The Financial Services Authority (FSA) has fined David Einhorn (pictured), owner of the prominent US hedge fund Greenlight Capital Inc (Greenlight), and his fund GBP7.2 million for engaging in market abuse in relation to an anticipated significant equity fundraising by
Washington State residents Sung Hong a/k/a Lawrence Hong or Laurence Hong, his wife, Hyun Joo Hong a/k/a/ Grace Hong, and their company Pishon Holding, are to pay more than USD1.25 million in restitution in connection with an enforcement action brought
In its response to the Hedge Fund Working Group (HFWG) consultation paper, the London-based CFA Institute Centre for Financial Market Integrity expressed that it would like to see included
The Securities and Exchange Commission has charged a hedge fund manager and his Menlo Park, California-based firm for their involvement in the insider trading ring connected to Raj Rajaratnam and hedge fund advisory firm Galleon Management. The SEC alleges that
The Commodity Futures Trading Commission (CFTC) has filed a civil enforcement action (Complaint) against the principals of Berkley Capital Management, a binary options trading firm with offices in the US and the Netherlands and two pools that operated as Delaware
