In Short -
The Situation: The civil action of the Commodity Futures Trading Commission ("CFTC") against Archegos Capital Management LP and its CFO is but one of many civil and criminal matters arising out of Archegos's...more
9/28/2023
/ CFTC ,
Consumer Protection Act ,
Dodd-Frank ,
Enforcement Actions ,
ETFs ,
Exchange-Traded Products ,
Financial Markets ,
Fraud ,
Jurisdiction ,
Regulatory Authority ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Security-Based Swaps
In Short -
The Situation: The federal banking agencies approved a proposal that would implement a "gold-plated" U.S. version of the "Basel III endgame."...more
In Short -
The Situation: In a federal district court complaint against Archegos Capital Management, LP ("Archegos"), the Commodity Futures Trading Commission ("CFTC") has asserted jurisdiction over what many view as...more