At an SEC Investor Advisory Committee meeting, regulators, academics and market participants examined (i) the disparity in growth between the private and public markets, (ii) oversight of investment advisers and related custody rules, and (iii) a recent rule proposal regarding open-end fund liquidity risk management and swing pricing.
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The CFTC filed a civil enforcement action against a South African investment fund and its CEO for an allegedly fraudulent scheme that raised over $1.7 billion worth of Bitcoin from the public.
CFTC Division of Swap Dealer and Intermediary Oversight Director Joshua B. Sterling highlighted registration and disclosure requirements for firms involved in commodity pool offerings.