In a no-action letter, the CFTC’s Market Participants Division said it will not recommend an enforcement action against a swap entity for its failure to disclose to certain counterparties the Pre-Trade Mid-Market Mark of certain swaps on the Secured Overnight Financing Rate under certain conditions.
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Swap dealers at three different financial institutions settled separate CFTC enforcement actions for trade reporting and other compliance violations.
The SEC charged an alternative investment platform for misleading investors by failing to disclose "critical information" in an asset-backed securities offering.
A fund administrator settled charges with the SEC for failing to identify "red flags" of fraudulent behavior on the part of one of its hedge fund clients.
An investment adviser settled SEC charges for imposing excess management fees and failing to disclose conflicts of interest.