The SEC and CFTC charged two investment advisers and their portfolio managers with making material misrepresentations to investors as to worst-case losses, risk management and the advisers' risk profile of the portfolios they managed.
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The CFTC highlighted the risks of investing in commodity exchange-traded products or funds.
A mutual fund and its CEO settled CFTC and SEC charges for making materially misleading statements regarding the fund's risk management practices.
The CFTC final rule amendments incorporating staff guidance on CPO and CTA registration and reporting requirements were published in the Federal Register.
The CFTC adopted final rule amendments that incorporate CFTC staff guidance on CPO and CTA registration and reporting requirements.