Tuesday, 22 July 2014
Last updated 18 hours ago
Dec 1 2006 | 11:54am ET
The Commodity Futures Trading Commission on Nov. 28 filed a civil action against Peter Hoffman for allegedly fraudulently soliciting potential customers and opening discretionary trading accounts, acting as an unregistered commodity trading advisor and violating an order entered by the CFTC against him.
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…