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24 Sep 2011, 6:31 am
For funds, the CPO should complete Form 40 as the trader. [read post]
23 Sep 2011, 1:23 pm
As enforcement of insider trading has picked up, traders have stepped back from legal lines for fear of being investigated, leaving behind mainstays like the so-called "expert networks" that were Mr. [read post]
23 Sep 2011, 2:00 am
In this post, Edith Orenstein examines Cross’s testimony and looks at various proposals that members of Congress have circulated to further amend SOX Section 404 as well as the opinions of interested groups such as the CFA Institute, the Center for Audit Quality, and the Council of Institutional Investors. 3) Corporate Control: Regulators Need to Regulate – In this thought-provoking post, Richard Leblanc discusses the recent alleged $2-billion fraud by a 31-year-old… [read post]
22 Sep 2011, 10:59 pm
Justice P. [read post]
22 Sep 2011, 8:12 am
He tipped his father, and they then traded those securities.The case marks the SEC’s first insider trading enforcement action involving ETFs.SEC Charges Former Goldman Sachs Employee and His Father with Insider Trading; 2011-188; September 21, 2011Related articles, courtesy of Zemanta: Another Delta One Casualty: Former Goldman ETF Trader Caught In Insider Trading BustSEC Accuses Ex-Goldman Employee of Insider TradingFirst UBS, Now Goldman: ETF Desks Rife with Scandal [read post]
22 Sep 2011, 7:51 am
Traders exceeding a particular limit would be allowed to use opposing positions that fall underneath the swaps position to reduce their net position. [read post]
22 Sep 2011, 5:55 am
Kweku Adoboli, who didn't request bail, faces amended charges, with authorities alleging that he committed fraud dating back to 2008. [read post]
22 Sep 2011, 5:39 am
21 Sep 2011, 8:37 pm
However, the advertiser’s use of another trader’s name in the headline for an advertisement which had nothing to do with that trade was. [read post]
21 Sep 2011, 1:08 pm
Financial Services Authority (“FSA”) issued a release today publicly censuring London metals trader Jason Geddis. [read post]
21 Sep 2011, 11:10 am
“Europe is the biggest global trader in food products and the openness of the European market leaves us particularly vulnerable to food safety threats. [read post]
20 Sep 2011, 1:34 pm
James Fleishman, who worked at Primary Global Research, was convicted of orchestrating a secret exchange of information between hedge fund traders and employees at companies. [read post]
20 Sep 2011, 10:00 am
” (Earlier this summer, the Texas Supreme Court pointedly argued in NAFTA Traders v. [read post]
20 Sep 2011, 8:22 am
That gave them, according to their accusers, an advantage over most traders. [read post]
20 Sep 2011, 8:01 am
Bennett was an independent film producer and stock trader. [read post]
20 Sep 2011, 7:41 am
First Derivative Traders A. [read post]
19 Sep 2011, 6:51 pm
The “position limit” rule aims to clamp down how many total contracts of commodities a speculative trader can control. [read post]
19 Sep 2011, 1:06 pm
If the trader, Kweku Adoboli, had been in the United States, he would had been charged under the bank fraud statute and would have faced a longer possible prison term. [read post]
19 Sep 2011, 11:47 am
The recent UBS “rogue trader” debacle illustrates that, while exchange traded funds based on major indices may be suitable investments for many investors, more extreme and exotic exchange traded funds often involve tremendous risk, and are therefore unsuitable for most investors. [read post]
19 Sep 2011, 8:10 am
CFTC grants temporary relief from Large Swaps Trader ReportingThe CFTC’s Division of Market Oversight has issued a letter extending relief from two sections of the “Large Swaps Trader Reporting for Physical Commodities” rule. [read post]
