BNY Mellon has developed a reporting solution that enables its affected alternative investment clients to prepare and file Form PF, as required by recent rules introduced by the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC).
The US Commodity Futures Trading Commission (CFTC) has filled a complaint in the US District Court for the Eastern District of Michigan charging defendants Alan James Watson and Cash Flow Financial LLC (CFF), both of Clinton Township, Mich, and Michael
The US Commodity Futures Trading Commission (CFTC) has approved an order for ICE Trade Vault, a provisionally registered swap data repository, to drop its foreign exchange asset class. This approval is pursuant to section 21 of the Commodity Exchange
The US Commodity Futures Trading Commission (CFTC) has obtained a federal default judgment order requiring defendants Dennis Todd Hagemann and his company, Yellowstone Partners, Inc (Yellowstone), both of Raleigh, NC, to pay more than USD1.6 million in restitution and civil
Merrill Lynch Commodities, has agreed to pay a USD350,000 civil monetary penalty to settle CFTC charges that it exceeded speculative position limits in Cotton No2 futures contracts in trading on the IntercontinentalExchange U.S. (ICE). MLCI also agreed to cease and
The Securities and Exchange Commission today charged a San Francisco-area investment adviser with defrauding investors by giving them a bogus audit report that embellished the financial performance of the fund in which they were investing. The SEC alleges that James
The US Commodity Futures Trading Commission (CFTC) has obtained a federal court order imposing more than USD46.9 million in restitution and civil monetary penalties on Robert D Bame of Moreno Valley, Califonia, and his firm, Forward Investment Group, LLC (Forward)
The US Commodity Futures Trading Commission (CFTC) has obtained more than USD700,000 in restitution and civil monetary penalties in a federal court order against Jeffrey Shalhoub of Staten Island, NY, and his company, Jeff Shalhoub Investments (JSI) of Long Island
The Commodity Futures Trading Commission (CFTC) has issued an order filing and simultaneously settling charges against Enskilda Futures Ltd (EFL), a London-based futures commission merchant (FCM), and Skandinaviska Enskilda Banken AB (SEB) for failing to diligently supervise accounts carried by
The US Commodity Futures Trading Commission (CFTC) today filed an enforcement action charging Colorado-based defendants Arjent Capital Markets LLC (has), Chicago Trading Managers LLC (CT Managers), Spencer Montgomery, and Brian Reynolds with defrauding commodity pool investors by knowingly or recklessly
