The US Commodity Futures Trading Commission (CFTC) has won a court
order freezing the assets of David Prescott, individually and doing business as
Cambridge Currency Partners. The court’s order also prohibits the destruction of
books and records and sets ...
The US Commodity Futures Trading Commission (CFTC) has ordered
Greenwich, Connecticut-based Interactive Brokers (IB), to pay a $225,000
civil monetary penalty for failing to maintain sufficient funds in customer
IB is accused of failing to calculate the amount of ...
Money market funds are not subject to
consistent supervisory and
enforcement practices across the European
Union, according to findings from the
European Securities and Markets
In its latest peer review report, ESMA
examined whether EU securities advisors
The US Commodity Futures Trading Commission (CFTC) has charged New York-
based 4X Solutions and its principle, Wileon Chay, with fraud and misappropriation
for operating a foreign exchange Ponzi scheme which saw at least 19 participants
conned out of $4.8 million.
As European policymakers wrestle with plans to curb high frequency trading, Colin Lambert takes a
look at a paper that suggests taxation, not speed limits, is the answer.
F-or all the opprobrium poured upon the
heads of hedge fund managers ...
A CFTC commissioner has offered hope for those seeking to dilute the proposed rules on competitive quotes.
Confusion continues to reign in
financial markets over the likely
shape of SEF rules due to be announced by the US Commodity Futures
Alice Attwood reports as the National Futures Association continues to close loopholes
following the PFG meltdown.
The National Futures Association’s
(NFA) board of directors has voted
to accept the recommendations
made by Berkeley Research Group (BRG)
as part of ...
Alice Attwood reports on the latest developments in the
implementation of EMIR rules.
At the beginning of February the European Parliament’s
Economic and Monetary Affairs Committee (Econ) voted
to reject two of the Regulatory Technical Standards
(RTS) produced by ...
The US National Futures Association is getting aggressive when it comes to enforcing the rule book. Colin Lambert reports.
The US National Futures
Association stands accused of
forcing retail FX brokers out of
the US market as it seeks to ...