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Julia Lu, partner, Richards Kibbe & Orbe

Opinion: Proposed anti-fraud and anti-manipulation regimes for loan derivatives products

Mon, 04/07/2011 - 05:00
The seemingly intuitive application of long-standing securities anti-fraud and anti-manipulation rules to the complex world of over-the-counter derivatives, particularly where derivative products intersect with the loan market, will affect trading practices and compliance rules at all institutions trading these instruments, according to Richards Kibbe & Orbe partners Julia Lu and Eva Marie Carney... »

Commodities

CFTC seeks comment on exemptions for operators of commodity ETFs

Thu, 09/09/2010 - 10:34
The Commodity Futures Trading Commission has published proposed regulations that would provide certain exemptions to commodity pool operators where units of participation in their commodity pools are both sold in a registered public offering under the Securities Act of 1933 and listed for trading on a national securities exchange. »

CFTC publishes proposals for commodity ETFs

CFTC publishes proposals for commodity ETFs

Wed, 03/02/2010 - 05:57
The Commodity Futures Trading Commission has released proposals for the regulation of commodities exchange-traded funds. »

Georgia man charged over multi-million dollar forex Ponzi scheme

Georgia man charged over multi-million dollar forex Ponzi scheme

Fri, 10/07/2009 - 13:08
The US Commodity Futures Trading Commission has charged Eldon A. »

SEC proposals aim to strengthen safeguards of investor funds

SEC proposals aim to strengthen safeguards of investor funds

Fri, 15/05/2009 - 15:04
The Securities and Exchange Commission has proposed rule amendments that aim to substantially increase protections for investors who entrust their money to investment advisers. »

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