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21 Jul 2011, 5:49 am
Next Tuesday: SEC to Adopt Institutional Investment Manager Vote Reporting Rules and More As noted in ISS's Blog, the SEC will hold an open Commission meeting on Tuesday to adopt rules requiring institutional investment managers to disclose their voting records; rules replacing credit rating references with alternative criteria and rules establishing a large trader reporting system. [read post]
21 Jul 2011, 2:59 am
"Rules of hygiene have to be adhered to by producers as well as by traders," he says. [read post]
20 Jul 2011, 3:55 pm
The SEC announced its agenda for an Open Meeting on July 26, 2011: Item 1: The Commission will consider whether to adopt Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act, to establish a large trader... [read post]
20 Jul 2011, 1:31 pm
[JURIST] Former hedge fund trader Danielle Chiesi was sentenced Wednesday to 30 months in prison after pleading guilty [JURIST report] in the US District Court for the Southern District of New York [official website] to three criminal counts of conspiracy to commit securities fraud. [read post]
20 Jul 2011, 10:20 am
Dairy traders settle with CFTC over price manipulationThe CFTC simultaneously filed and settled charges against Ecoval Dairy Trade, Inc, in connection with alleged price manipulation of Non Fat Dairy Milk (“NFDM”) futures contracts on the Chicago Mercantile Exchange (“CME”). [read post]
19 Jul 2011, 8:06 am
It has been recognised in several decisions of the Supreme Court, including in Shrijee Sales vs Union of India, Kasinka Traders vs Union of India, M. [read post]
19 Jul 2011, 5:00 am
The SEC announced they had obtained an emergency freeze against three Swiss-based traders under an allegation of insider trading. [read post]
18 Jul 2011, 5:33 pm
Guidry, 327 S.W.2d 406, 408 (Tex. 1959); see also Nafta Traders, Inc. v. [read post]
18 Jul 2011, 2:12 pm
First Derivative Traders. [read post]
18 Jul 2011, 11:33 am
Vincent McCrudden, a former trader, pleaded guilty to charges that he threatened to kill more than 40 current and former regulatory officials, including Mary Schapiro of the S.E.C. and Gary Gensler of the C.F.T.C. [read post]
18 Jul 2011, 11:28 am
Not only was Lowrance not an experience forex trader, he never actually attempted to trade any of it. [read post]
18 Jul 2011, 8:54 am
A U.S. citizen who allegedly operated a foreign currency trading fraud scheme while living in Panama — obtaining more than $25 million, with losses totaling at least $5 million, from some 400 investors nationwide, when the scheme collapsed in 2009 — was extradited from Peru to face federal fraud charges in Chicago. [read post]
18 Jul 2011, 6:35 am
First Derivative Traders, in which the Court ruled that investment advisors to a mutual fund cannot be sued under federal securities law for false statements made by a fund they advised, “is likely the blockbuster ruling everyone missed” in their end-of-Term assessments. [read post]
18 Jul 2011, 2:00 am
The following is our monthly featured post from Terry Nelson, Peter Fetzer and Michael Primo of Foley & Lardner filling you in on the latest developments in the world of investment management. [read post]
16 Jul 2011, 8:52 pm
A Financial Industry Regulator Authority Panel has ordered WedBush Securities Inc. to pay one of its traders over $3.5 million for refusing to properly compensate him. [read post]
16 Jul 2011, 6:16 am
As bellies futures predated the creation of financial futures, some traders also used them to protect against macroeconomic risks, said John Lothian, president of the electronic trading division at brokers Price Futures Group in Chicago. [read post]
15 Jul 2011, 2:48 pm
First Derivative Traders is likely the blockbuster ruling “everyone missed,” writes College of Saint Rose political science professor Scott Lemieux in The American Prospect. [read post]
15 Jul 2011, 2:43 pm
Lawyers tussle over ‘financial conspiracy’ evidence in McCrudden caseDefense counsel for disgruntled former hedge-fund manager and commodities trader Vincent P. [read post]
15 Jul 2011, 12:14 pm
Those rules addressed the definition of “agricultural commodity,” large trader reporting for physical commodity swaps, and consumer privacy and information protection. [read post]
15 Jul 2011, 10:52 am
” The worry is that a program will malfunction, sending the market into a “flash crash” similar to the one seen in New York last year.In the market report, regulators explain that they took time to speak to traders regarding faulty algorithms. [read post]
