Commentary by Steven Lofchie
SEC Commissioners issued recommendations on the agency's "re-proposal" to update regulation on the use of derivatives by SEC-registered investment companies and business development companies.
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22399 News Results
Commentary by Steven Lofchie
In its Annual Review, NFA highlighted certain initiatives and summarized enforcement activity for Fiscal Year 2019.
A swap dealer settled CFTC charges for failing to provide certain audio recordings during an investigation.
In a 2019 Annual Report, the CFTC Division of Enforcement reviewed key metrics from the past year, including the number of cases filed and the amount of relief provided.
The California-based technology company settled potential civil liability for dealing in the property or interests of a software company designated by OFAC for being a "significant" foreign narcotics trafficker.