The US Commodity Futures Trading Commission (CFTC) has filed a notice of intent to revoke or restrict the registration of Raleigh Capital Management, Inc. (RCM), a Chicago, Illinois-based commodity pool operator. The CFTC’s notice alleges that RCM is subject to
Two hedge funds managed by Optimal Investment Services, a wholly owned indirect subsidiary of Banco Santander, have agreed to return the USD235m they withdrew from their accounts with B
The US Commodity Futures Trading Commission has entered orders against Kenneth L.
The US Commodity Futures Trading Commission (CFTC) has voted unanimously to approve a proposal to codify policies and procedures for clearing organisations located outside of the US to obtain an exemption from registration as a derivatives clearing organisation (DCO). The
The Securities and Exchange Commission has filed a complaint in United States District Court in Riverside, California against Copeland Wealth Management, A Financial Advisory Corporation (CWM), Copeland Wealth Management, A Real Estate Corporation (Copeland Realty), and Charles P Copeland for
The Commodity Futures Trading Commission (CFTC) has unanimously approved final amendments clarifying and simplifying its regulations governing chief compliance officer (CCO) duties and annual compliance reporting requirements for futures commission merchants (FCM), swap dealers and major swap participants. “The
The Securities and Exchange Commission has proposed rule amendments that aim to substantially increase protections for investors who entrust their money to investment advisers.
The Securities and Exchange Commission has charged two San Francisco-based investment adviser firms along with their former chief executive, former general counsel, and former portfolio manager with defrauding investors in a USD100m hedge fund that invested in sub-prime automobile loans.
The US Commodity Futures Trading Commission has obtained an order against Steven G.
The Commodity Futures Trading Commission (CFTC) has unanimously approved a swap clearing requirement proposed rule that would reduce unnecessary burdens on bank holding companies, savings and loan holding companies, and community development financial institutions. The proposal would exempt from the
