Thursday, 31 July 2014
Last updated 2 hours ago
Jan 23 2007 | 9:31am ET
The National Futures Association has suspended Roswell, Ga.-based Renaissance Asset Management, a CPO and CTA, and William Stacy Wilkinson, one of the firm's principals.
The NFA suspended Renaissance and Wilkinson for acting as a CPO without being properly registered under the Commodity Exchange Act. Renaissance and Wilkinson also allegedly provided fraudulent information to their investors and the NFA.
The suspension will remain in effect until NFA is satisfied that Renaissance is in complete compliance with all NFA requirements, according to the agency.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…