The Cybersecurity Law will not become effective until June 1, 2017, and the Division understands that necessary implementing regulations have not yet been published. The ...
It is critical that international bodies make it their top priority to take up this challenge of looking across reforms to see if we have ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is proposing to amend its regulations regarding certain duties of chief compliance officers (“CCOs”) of swap dealers ...
Williams fraudulently solicited and accepted at least $13 million from 40 individuals to trade E-Mini S&P 500 futures contracts, among other things, in a pooled ...
The Complaint alleges that from at least January 2016 through October 2016, Powderly solicited customers and prospective customers by claiming that he and a university ...
RED List works in conjunction with the CFTC’s SmartCheckSM campaign to help investors identify and protect themselves against illegal conduct. The RED List also ...
The Complaint alleges that the Johnsons misappropriated all of pool participants’ funds by paying their own personal expenses, by depositing pool participants’ funds into their ...
The Division will not recommend that the Commission take an enforcement action against Eurex Clearing for a violation of Commission Regulation 39.19(c)(3)(ii) or Condition 4 ...
In sum, regulatory harmonization is an imperative today. Our times are turbulent. And in the midst of these rapid changes, the electorate, in several jurisdictions, ...
Absent the relief provided herein, University “A” Management Company and the “Z” Fund Directors could be required to register as CPOs with respect to their ...