Carl Ayers
In the end, the cost to George Palathinkal for lying to the SEC during a fraud investigation turned out to be modest (PF Watch, April ...
Nine months after proposing a new rule – and seven months after the GAO criticized its whistleblower rules (CPO/CTA Watch, Nov. 3, 2016) – the ...
The January proposal from the CFTC to modernize its recordkeeping rule attracted only 16 comments, but some urged the Commission to mirror its rules on ...
With visions of boosting its analytics, monitoring of derivatives and exams, the CFTC has submitted a budget request to Congress that seeks an increase of ...
The following FAQs provide additional information on the transition period from June 9, 2017 to January 1, 2018.1 This guidance, like the Fiduciary Rule and ...
The Commodity Futures Trading Commission (the “Commission”) is amending the recordkeeping obligations set forth in Commission regulations along with corresponding technical changes to certain provisions ...
The Commodity Futures Trading Commission (“Commission”) is amending its regulations and forms to enhance the process for reviewing whistleblower claims and to make related changes ...
Nine months after the SEC charged Leon Cooperman and his New York-based RIA Omega Advisors ($6.1B in AUM) with insider trading and beneficial ownership reporting ...
You hear it so much it can be easy to dismiss it as hyperbole: an enforcement action comes with reputational harm. That appears to ...