On April 17, 2025, the Commodity Futures Trading Commission's ("CFTC") operating divisions ("Divisions") provided guidance in an advisory on the criteria they will use when determining whether to refer self-reported...more
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