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I have serious concerns with the evolving jurisdictional application of the Commission’s authority over cross-border trades. It appears based on the staff Advisory, that ...
The CFTC contends the bank president lied about trades, calling them "Pure coincidence that the trades crossed. Very isolated when viewed in the context of ...
The world's a small place. It's not uncommon for, say, an adviser in New York to manage a fund based in London that engages in ...
This rule applies additional standards for compliance with the derivatives clearing organization (DCO) core principles for systemically important DCOs.
Your views will be confirmed in the new study of The Cost of Compliance, which finds, as expected, that more regulations gin up the costs ...
If you lived through it, you'll never forget it - nor wish to repeat it. Many believe the financial crisis was sparked by the failure ...
It just got easier for the SEC to book a trip to Europe to check on an investment adviser doing business there and for EU ...
It just got easier for the SEC to book a trip to Europe to check on an investment adviser doing business there and for EU ...
Today's the day. July 22nd is when the Alternative Investment Fund Managers Directive takes effect (IA Watch, July 8, 2013). U.S. managers selling private funds ...
Perhaps your reaction to the SEC's final rule permitting general solicitation of private offerings matches that of an official at a Connecticut advisory firm (IA ...