Entries tagged "CFTC"

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12 result(s) displayed (1 - 12 of 16)

Peregrine CEO charged with making false statements

Russell Wasendorf Sr. allegedly detailed an extensive financial fraud at his brokerage firm in a statement found in his vehicle after a suicide attempt. Continue reading

Posted on July 19, 2012 6:14 AM

Barclays takes aim at U.K. regulators

The U.K. lender releases evidence highlighting an October 2008 conversation between a top executive and a Bank of England deputy governor. Continue reading

Posted on July 3, 2012 2:19 PM

Time for private equity to focus on Form PF

The reporting form for private fund advisers was mandated by the Dodd-Frank Act to help regulators determine systemic risk. Continue reading

Posted on May 25, 2012 12:30 PM

CFTC proposes Volcker Rule for proprietary trading

The proprietary rule governing banks' swaps trades mirrors the rules adopted by other agencies Continue reading

Posted on January 12, 2012 1:25 PM

Derivatives risks still loom large

New derivatives rules aimed at wiping away risk could lead to a whole new batch of problems. Continue reading

Posted on December 9, 2011 12:00 PM

Form PF gets into PE's business

With the kickoff of the new Dodd-Frank requirement, advisers are required to spell out information about the liquidity, counterparty exposure, type of investment and some other details of the funds they manage. Continue reading

Posted on November 11, 2011 12:30 PM

CFTC, SEC unveil swaps plan

Long-awaited definitions also spell out which agency regulates what instrument. Continue reading

Posted on April 28, 2011 9:25 AM

Ambling toward the cliff

With SEC and CFTC funding in the balance, both sides say they don't want a budget crisis. But brinkmanship has a funny way of getting out of hand. Continue reading

Posted on February 18, 2011 11:28 AM

Do the right thing

Watchdog groups oppose a plan to make whistleblowers report violations to their employers before going to the feds. Continue reading

Posted on February 18, 2011 11:10 AM

Change we can dither on

Behind closed doors and drowned out by the din of the healthcare debate, Wall Street wages a quiet war to forestall tougher regulations for the nuanced and largely unregulated derivatives market. Continue reading

Posted on September 18, 2009 1:30 PM

Surveying the sandlot

Proposals to reregulate derivatives haven't even been submitted yet, and Congress is already bickering over who will control what. Continue reading

Posted on June 5, 2009 11:56 AM

Extreme makeover: Reining in the CDSs

Regulators jockey to oversee Wall Street's latest villain. Continue reading

Posted on January 9, 2009 2:14 PM

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