Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
International (360)
Your search for International returned 360 results.
Sorted by Date

8/12/2019 | Content area: Investment Adviser
SEC Charges Massachusetts Investment Adviser with Persuading Retail Investors to Place Money Into an Apparent Overseas Scam Litigation Release No. 24...
8/07/2019 | Content area: Investment Adviser
Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Commissioner Hester Peirce Tokyo, Japan Aug. 7, 2019 It is a...
8/01/2019 | Content area: CPO/CTA
With a new Prime Minister in the UK who promises a hard exit to Brexit, if necessary, the CFTC’s new Chairman Heath Tarbert pledges to “closely” monit...
7/31/2019 | Content area: CPO/CTA
DMO has determined that it is appropriate to grant the Associations’ request to extend CFTC Letter 17-37 to August 12, 2022. DMO believes that, for th...
7/30/2019 | Content area: Investment Adviser
The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the i...
7/29/2019 | Content area: Broker-Dealer
SEC Obtains Fraud Judgments Against Overseas Broker Dealer and Investment Manager Litigation Release No. 24546 / July 29, 2019 SEC v. Beaufort Secs....
7/29/2019 | Content area: CPO/CTA
RELEASE Number 7985-19 July 29, 2019   CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading ...
7/23/2019 | Content area: CPO/CTA
In August 2018, the Commodity Futures Trading Commission (Commission) proposed regulations that would codify the policies and procedures that the Comm...
7/19/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is proposing amendments to its regulations that would permit derivatives clearing organizations ...
7/18/2019 | Content area: Investment Adviser
Having an entity test its ability to infiltrate your network stands as a confirmed cybersecurity best practice.   However, you may want to ask your ve...
7/18/2019 | Content area: Investment Adviser
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and prom...
7/11/2019 | Content area: CPO/CTA
Opening Statement of Chairman J. Christopher Giancarlo before the Open Commission Meeting July 11, 2019 Good morning.  This meeting will come to o...
7/09/2019 | Content area: CPO/CTA
Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initi...
7/05/2019 | Content area: CPO/CTA
You don’t have to be registered with the CFTC or even in the U.S. to face punishment by the regulator – as a Hong Kong-based hedge fund has learned.  ...
7/05/2019 | Content area: CPO/CTA
Foreign firms, including CPOs/CTAs, that offer futures and options to U.S. investors can avoid registering with the CFTC if the agency determines they...
7/03/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is proposing amendments to certain provisions of its regulations governing the offer and sale of...
7/02/2019 | Content area: CPO/CTA
RELEASE Number 7955-19 July 2, 2019 CFTC Charges Hedge Fund with Violating Wheat Futures Speculative Position Limits Washington, DC — The C...
6/27/2019 | Content area: Investment Adviser | CPO/CTA
Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman...
6/25/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is proposing amendments to certain provisions of its regulations governing the offer and sale of...
6/24/2019 | Content area: CPO/CTA
”The continued pursuit of various opportunistic strategies in the credit derivatives markets, including but not limited to those that have been referr...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US