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High Frequency Trading (70)
Your search for High Frequency Trading returned 70 results.
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11/07/2018 | Content area: Broker-Dealer
ITG did not adequately limit access to GATE, a firm system containing all order flow routed through ITG, including open child-level POSIT order inform...
9/14/2018 | Content area: Broker-Dealer
CGMI failed to adequately disclose to all users that orders sent to Citi Match could be routed to, and executed in, various external venues. This prac...
8/30/2018 | Content area: Investment Adviser
Once again, evidence emerges of the heavy cost of not listening to concerns raised by compliance staff.   When a compliance official at Aegon USA Inve...
8/27/2018 | Content area: Investment Adviser
AUIM failed to adopt and implement certain compliance policies and procedures, including failing to take reasonable steps to ensure that: (1) its quan...
8/27/2018 | Content area: Investment Adviser
Beman, who served as AUIM’s Global Chief Investment Officer at all relevant times, was a cause of these violations. Beman, despite being aware of the ...
8/27/2018 | Content area: Investment Adviser
Respondents marketed all of the Products and Strategies as “managed using a proprietary quant model,” and highlighted, when marketing certain of the P...
5/10/2018 | Content area: Private Fund
The fallout continues from a now nearly two years’ old insider trading case involving two portfolio managers at a New York-based hedge fund adviser (P...
9/21/2017 | Content area: CPO/CTA
The CFTC Complaint alleges that from approximately January 2014 through approximately January 2016, GBI and Gelfman, company Chief Executive Officer a...
6/29/2017 | Content area: CPO/CTA
The non-prosecution agreements set forth how each trader employed a spoofing strategy that involved entering a large brief order (with the intent to c...
1/26/2017 | Content area: CPO/CTA
The comment period for the Supplemental NPRM is extended until May 1, 2017.
1/13/2017 | Content area: Broker-Dealer
During the relevant period, CES provided a written disclosure to certain retail broker-dealer clients that described a market order as an “[o]rder to ...
11/28/2016 | Content area: CPO/CTA
The Commission is proposing to modify certain rules set forth in the NPRM. Any new or amended rules proposed in this Supplemental NPRM reflect only th...
11/07/2016 | Content area: CPO/CTA
The proposed Regulation Automated Trading that came out last year doesn’t affect CPOs/CTAs directly. It’s targeted at larger designated contract marke...
11/04/2016 | Content area: CPO/CTA
It is an illustration of the fact that our regulations have not kept up with our modern markets. Today’s proposal is a part of what we need to do to k...
11/04/2016 | Content area: CPO/CTA
Of these changes, there are two in particular that I want to flag. First, we are revising our registration regime to better focus our attention and re...
11/04/2016 | Content area: CPO/CTA
Yet, these are not new protections. They are in place today. Simply citing them in the preamble and rule text of the Supplemental Notice gives little ...
6/10/2016 | Content area: CPO/CTA
I therefore believe we owe it to stakeholders and end-users to finish a strong and effective regulation on automated trading this calendar year, and I...
6/10/2016 | Content area: CPO/CTA
Regulation AT contains the notorious requirement that proprietary source code be accessible to the CFTC and the Justice Department without a subpoena....
5/05/2016 | Content area: Broker-Dealer
SEC chair Mary Jo White has said the Commission is looking to finalize this year its first-ever major update to its regulations covering alternative t...
4/28/2016 | Content area: Broker-Dealer
The CAT is finally out of the bag. Nearly four years in the making, the SEC voted April 27 to publish for public comment a proposed national market sy...


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