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Former BDO accountants who predated audit work suspended by SEC
The SEC has suspended three former accountants of BDO USA, LLP for creating misleading audit documentation by signing incomplete work papers in the audit of a New York insurance company, a practice...
CFTC settles with spoofer who pleaded guilty to federal criminal charges
The CFTC announced that it brought a settled administrative proceeding against Kamaldeep Gandhi who admitted to participating in a scheme to place spoofed orders in numerous futures contracts. Gandhi...
SEC reopens comment period on Dodd-Frank security-based swaps proposals
By a 4 to 1 vote, the Securities and Exchange Commission has authorized the re-opening the comment period on three proposals relating to security-based swap dealers and major security-based swap...
HSBC settles RMBS fraud charges for $765M
HSBC will pay $765 million to settle claims related to its securitization, issuance, and marketing of residential mortgage-backed securities (RMBS) between 2005 and 2007. In an action brought under...
Commission floats simplification of CPO and CTA rules
The CFTC proposed six sets of amendments to its rules for commodity pool advisers (CPOs) and commodity trading advisers (CTAs) contained in Part 4 of the Commission’s regulations. The changes...