Opalesque Futures Briefing » Regulatory http://www.opalesque.com/Futures_Briefing Futures Briefing Sun, 20 Nov 2016 23:09:55 +0000 http://wordpress.org/?v=2.7.1 en hourly 1 Austrian Managed Futures lawyer takes 3rd place in world’s longest stairclimb race http://www.opalesque.com/Futures_Briefing/?p=13179 http://www.opalesque.com/Futures_Briefing/?p=13179#comments Mon, 24 Oct 2016 01:58:25 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=13179 Rolf Majcen, Managing Director of Vienna based FTC Capital, won the third place racing up the longest stairclimb of the world in the Shanghai World Financial Centre. The competition was held on 16 October in Shanghai. The Shanghai World Financial Centre is 495 meters high. In this race, runners had to run up 100 floors, 2744 stairs and 474 meters…

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SEC bars adviser for failing to disclose conflicts of interests in commodities fund http://www.opalesque.com/Futures_Briefing/?p=13171 http://www.opalesque.com/Futures_Briefing/?p=13171#comments Mon, 24 Oct 2016 01:57:11 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=13171 The Securities and Exchange Commission has barred the founder of Danville, Calif.-based Valentine Capital Asset Management after failing to disclose financial conflicts of interests to clients invested in a commodities fund.
John Leo Valentine, president and owner of Valentine Capital Asset Management, recommended clients buy and hold shares of Bridgeton Global Directional Fund, a managed futures fund that invested in…

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Commodities - What is an FCM? http://www.opalesque.com/Futures_Briefing/?p=13154 http://www.opalesque.com/Futures_Briefing/?p=13154#comments Sun, 16 Oct 2016 22:07:58 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=13154 Futures markets are exchanges where standardized contracts trade in an open and transparent environment. One of the most important roles, when it comes to the business transacted on these exchanges, is that of the FCM. The Commodity Futures Trading Commission (CFTC) regulates FCM’s.
An FCM is a Futures Commission Merchant. An FCM is an individual or organization that solicits and/or accepts…

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NFA bans introducing forex broker of FXCM, Gain Capital – Vankar Trading http://www.opalesque.com/Futures_Briefing/?p=13112 http://www.opalesque.com/Futures_Briefing/?p=13112#comments Sun, 09 Oct 2016 23:00:26 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=13112 The US National Futures Association (NFA) has announced it is permanently barring from membership the Chicago-based introducing forex broker Vankar Trading. The body overseeing the forex and introducing brokers in the US has also barred Vankar’s president John Karvelas from acting as a principal of an NFA Member for 10 years. Karvelas must also pay a $15 000 fine.
The…

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Jacob Wohl Subject Of Regulatory Complaint, Father Allegedly Tells NFA “Stay Away Or Else” http://www.opalesque.com/Futures_Briefing/?p=13001 http://www.opalesque.com/Futures_Briefing/?p=13001#comments Mon, 29 Aug 2016 00:04:02 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=13001 Self-proclaimed investment strategy guru Jacob Wohl, who professed to train would-be traders on managed futures trading strategies, may have found his Waterloo. The National Futures Association, which regulates the managed futures CTA hedge fund space and conducts performance audits of members, charged obstructed the NFA investigation and points to an investor complaint that he may have attempted to abscond with…

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SEC proposal challenges liquid alternatives funds http://www.opalesque.com/Futures_Briefing/?p=12594 http://www.opalesque.com/Futures_Briefing/?p=12594#comments Sun, 24 Apr 2016 23:34:54 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=12594 A rule proposed by the Securities and Exchange Commission to address the use of derivatives by mutual funds, exchange-traded funds and business development companies will, if enacted, substantially alter the universe of alternative strategy funds available to investors.
Allocations to managed futures funds give investors access to trading strategies that have historically provided investors diversification benefits during times of financial…

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SEC’s fund leverage cap needs revising but the idea is sound http://www.opalesque.com/Futures_Briefing/?p=12592 http://www.opalesque.com/Futures_Briefing/?p=12592#comments Sun, 24 Apr 2016 23:33:48 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=12592 To find evidence of retail investors’ use of highly levered funds, read responses to the Securities and Exchange Commission’s (SEC’s) proposals on funds’ derivatives use. As the proposals stand, interest rate swaps are treated the same as commodity futures. Yet in AQR’s managed futures strategy fund, rates positions are three times less volatile than commodities.
AQR analysed seven of the 10…

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Making an IRA Contribution to Managed Futures http://www.opalesque.com/Futures_Briefing/?p=12528 http://www.opalesque.com/Futures_Briefing/?p=12528#comments Mon, 04 Apr 2016 00:32:19 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=12528 With the tax deadline coming up next month, many investors are preparing the make their 2015 IRA contributions before the deadline. Now is also when most investors make adjustments to their retirement portfolios - tweaking allocations within asset classes, and switching asset classes all together.
As addressed in a previous newsletter, most individuals are not aware that you can invest…

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NFA bars London based commodity trading advisor TGI Capital Management http://www.opalesque.com/Futures_Briefing/?p=12464 http://www.opalesque.com/Futures_Briefing/?p=12464#comments Mon, 14 Mar 2016 00:51:24 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=12464 National Futures Association (NFA) today announced it has permanently barred TGI Capital Management Limited (TGI), an NFA Member commodity trading advisor (CTA) located in London, England, from membership and from acting as a principal of an NFA Member.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on a Complaint authorized by the BCC on November 2, 2015.…

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NFA bars London based commodity trading advisor TGI Capital http://www.opalesque.com/Futures_Briefing/?p=12427 http://www.opalesque.com/Futures_Briefing/?p=12427#comments Mon, 29 Feb 2016 01:22:00 +0000 shailaja http://www.opalesque.com/Futures_Briefing/?p=12427 National Futures Association (NFA) today announced it has permanently barred TGI Capital Management Limited (TGI), an NFA Member commodity trading advisor (CTA) located in London, England, from membership and from acting as a principal of an NFA Member.
The Decision, issued by NFA’s Business Conduct Committee (BCC), is based on a Complaint authorized by the BCC on November 2, 2015.…

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