If you believe your CPO should be exempt from CFTC registration, the process begins by filing notice with the Commission (CPO/CTA Watch, May 28, 2012). ...
Should you rely on a vendor to keep required records, don’t assume the documents will be there when you need them. That’s one lesson ...
It’s difficult for regulators to keep up with change, especially in the information age. But CFTC commissioners have unanimously voted to propose updating its books ...
Despite cybersecurity threats, automation often beats a human using a manual method. J.P. Morgan Securities relied on one employee using a largely manual process ...
On the same day that President Obama gave his farewell address, CFTC Chairman Timothy Massad – with only days left in his term – gave ...
The doors at Washington regulators are opening and closing fast and furiously these days. The day before the SEC got word of its new chairman ...
The bill has come due for former MF Global CEO Jon Corzine, who presided over the firm’s bankruptcy and misuse of customer assets. The CFTC has ...
Two years after David Zier, the former CEO of Convergent Wealth Advisers ($4.6B in AUM) in Potomac, Md., took his life after questions were raised ...
The year draws to a close with the CFTC finalizing a new final rule that revises Commodity Exchange Act rule 150.4 (aggregation of positions) to ...
For five years ending in 2012, traders at Goldman Sachs manipulated a key interest rate benchmark to benefit the firm’s proprietary derivatives’ positions while harming ...