LJM’s central trading strategy relied primarily on selling options on S&P 500 futures and collecting the premiums (also called a short volatility strategy). Selling options ...
A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...
Individual B, who at that time was a SummerHaven partner and SummerHaven’s Chief Compliance Officer, approved the decision, and told SummerHaven employees that the transactions ...
The NFA recognizes some situations may technically require notice when it’s really not necessary, such as when a CPO “reasonably expects to meet the margin ...
“Climate change poses a major threat to U.S. financial stability, and I believe we must move urgently and assertively in utilizing our wide-ranging and flexible ...