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CFTC Penalizes Firm $500K via Wash Sales Case

May 25, 2021 by Eugene Grygo

CFTC Penalizes Firm $500K via Wash Sales Case

SummerHaven Investment Management, a firm that acts as a commodity trading advisor (CTA) and commodity pool operator (CPO), has been penalized $500,000 by the CFTC on charges that it engaged in wash sales and other non-competitive transactions. The firm has also been charged with falling short in supervising these activities, according to the CFTC. The… Read More >>

Filed Under: Derivatives Operations, Derivatives Processing, Securities Operations, Buy-Side, Clearing, Data Management, Industry News, Middle-Office, Operational Risk, Reconciliation & Exceptions, Risk Management, Settlement, Governance, Back-Office, Integration, Standards, KYC, AML/Fraud/Financial Crime, Regulation & Compliance, Derivatives, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: CFTC, CME, commodity trading advisors (CTAs), CPO, Dodd-Frank, ICE, listed derivatives, regulatory reporting

Electronic Trading Jolts FX Markets to Change

July 18, 2017 by Lynn Strongin Dodds

The foreign exchange (FX) markets have undergone significant transformation with electronic platforms comprising a greater share of activity. However, the nature of trading has also changed and venues will have to up their game if they want to attract and retain a growing and diverse group of market participants, according to a new report, “FX… Read More >>

Filed Under: General Interest, Industry News Tagged With: Axel Pierron, commodity trading advisors (CTAs), electronic trading, foreign exchange (FX), high-frequency traders (HFTs), IEX Group, New York Stock Exchange (NYSE), Opimas, prime brokerage

Rival Debuts Enterprise-Wide Risk Management Platform

November 5, 2015 by Eugene Grygo

Derivatives trading and risk systems vendor Rival Systems has launched an enterprise-wide risk management platform, Rival Risk, intended to help firms monitor risk and manage exposure in real time across multiple profit centers and asset classes, officials say. Newcomer Rival is making the tool widely available to brokerage and clearing firms, hedge funds, commodity trading… Read More >>

Filed Under: Derivatives Operations, Risk Management, General Interest, FinTech Trends, Industry News Tagged With: brokerage, cash treasury, clearing firms, commodity trading advisors (CTAs), equity options, foreign exchange markets, futures, hedge funds, proprietary trading firms, risk management, Rival Risk, Rival Systems, Robert D’Arco

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