The US CFTC is seeking comment on proposed governance and conflicts of interest Acceptable Practices for all US designated contract markets.
The Securities and Exchange Commission (SEC) has charged a Connecticut-based investment adviser with falsely stating to clients that it was co-investing alongside them in two collateralised debt obligations (CDO). The SEC’s investigation found that Aladdin Capital Management’s co-investment representation was
The Commodity Futures Trading Commission has notified ICE Futures US of the results of a rule enforcement review completed by the commission’s division of market oversight. The review covered the target period from 1 November 2010 to 1 November 2011.
The US Commodity Futures Trading Commission has filed an enforcement action charging Highlands Capital Management, based in San Francisco, California, and its principal Glenn Kane Jackson of Tiburon, California, with operating a fraudulent off-exchange foreign currency scheme. Specifically, the CFTC
Thanks to the recent JOBS Act (Jumpstart Our Business Startups Act), signed by President Obama last year, the Securities and Exchange Commission (SEC) has lifted advertising restrictions for hedge funds and other kinds of private investment offerings as of 2013,
The Commodity Futures Trading Commission has approved an exemptive order providing time-limited relief from certain cross-border applications of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Commission’s regulations. The purpose
The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission have jointly issued final rules and guidelines to require certain regulated entities to establish programmes to address risks of identity theft. These rules and guidelines implement provisions
The Securities and Exchange Commission has charged a Santa Monica-based hedge fund manager and his investment advisory firm with conducting a "cherry-picking" scheme by steering winning trades to their own trading accounts and favoured clients to the detriment of certain
In a recent speech before the Regulatory Compliance Association, Bruce Karpati, chief of the Securities and Exchange Commission’s enforcement division’s asset management unit, suggested where the SEC may be heading regarding hedge fund oversight in the months to come. Karpati
The US Commodity Futures Trading Commission has obtained more than USD16.2m in restitution and civil monetary penalties in a federal court order against defendants Scott P. Kear, Sr., Jeffery L. Lyon and entities they controlled, M25 Investments and M37 Investments,
