US Legal & Regulation

The US Commodity Futures Trading Commission’s division of clearing and intermediary oversight has published an advisory clarifying the extent to which certain sophisticated customers located in the US may transact in foreign security futures products.  »

The US Commodity Futures Trading Commission has filed and settled charges against MF Global, a registered futures commission merchant, and its predecessor corporation Man Financial, relating to risk supervision failures in four separate instances between 2003 and 2008.  »

A federal court has entered an order freezing assets held by defendant David A. Owen, of Destin, Florida following a Commodity Futures Trading Commission anti-fraud enforcement action filed on 30 October 2009. »

In a stinging report summarising the results of an internal investigation into the US Securities and Exchange Commission's failure to halt Bernard Madoff's giant Ponzi scheme, David Kot »

In a stinging report summarising the results of an internal investigation into the U.S. »

A Federal court judge in Los Angeles has continued an asset freeze against Gordon A. »

The US Commodity Futures Trading Commission has charged Eldon A. »

The US Commodity Futures Trading Commission has charged Patrick J. »

Headstart Advisers, an FSA-regulated hedge fund adviser, and Najy Nasser, its chief investment officer, have settled their dispute with the US Securities and Exchange Commission relatin »

The Financial Industry Regulatory Authority has fined Wachovia Securities USD1.4m for its failure to deliver prospectuses and product descriptions to customers who purchased various inv »