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By Ginger Szala |
May 23, 2013
A running list of regulatory and enforcement actions from around the trading industry.
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By Silla Brush |
May 21, 2013
Chairman Gary Gensler’s recusal from the investigation into MF Global was unnecessary, according to the agency’s internal watchdog.
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By Silla Brush, Bloomberg |
May 21, 2013
Top executives of the two largest U.S. derivatives exchanges say regulators must take further steps to align Dodd-Frank Act rules with those of foreign counterparts to avoid oversight splits that could harm markets.
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By Press Release |
May 16, 2013
CFTC claimed defendants solicited 2,000 customers then misappropriated at least $9.6 million of pool funds for personal use.
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By Silla Brush, Bloomberg |
May 16, 2013
JPMorgan Chase & Co., Goldman Sachs Group Inc. and the world’s largest banks won rollbacks in final Dodd-Frank Act rules that promise to transform the private swaps market by increasing competition.
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By Silla Brush |
May 15, 2013
The world’s largest banks are set to win a rollback in final Dodd-Frank Act rules intended to transform the swaps market.
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By Silla Brush and Christine Harper |
May 14, 2013
The CFTC is seeking documents from Wall Street banks about trades that combine features of swaps and futures.
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By Press Release |
May 14, 2013
CFTC orders MB Trading Futures Inc., a registered retail foreign exchange dealer, to pay $200,000 penalty to settle charges of violating minimal financial requirement rules
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By Press Release |
May 13, 2013
The court said that the defendants ran a forex Ponzi scheme rather than trade client money as promised.
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By Elizabeth Campbell, Bloomberg |
May 13, 2013
Hedge funds increased bets on lower gold prices after investors pulled a record $20.8 billion from bullion funds this year while BlackRock Inc., the world’s biggest money manager, said it’s still bullish.
