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Category: Regulation, enforcement & litigation

Regulation, enforcement & litigation
Investments & markets
"The algorithm decided" is not a legal defense. Neither is "we didn't know the system had drifted." Courts are settling these questions fast — and the...
Derivatives
Investments & markets
Prediction markets have outgrown their reputation as election novelties. They are now structured like financial derivatives, regulated by the CFTC, and generating the same market-abuse problems...
Investments & markets
Regulation, enforcement & litigation
A 10% stock drop on a single post. Here is how it became a $2.6 billion verdict....
Investments & markets
Regulation, enforcement & litigation
Litigation risk, disclosure, and instrument-level analysis during global shocks...
Derivatives
Investments & markets
How 0DTE options reshape market volatility, gamma risk, broker-dealer supervision, and securities litigation in today’s high-speed derivatives markets....
News
Regulation, enforcement & litigation
Mohammad H. Ali, CFA, is an FX and derivatives expert with 25+ years in global trading, e-trading systems, risk management, and regulatory compliance....
News
Regulation, enforcement & litigation
Ted Morgan is a recognized authority in high-frequency trading regulatory compliance, with deep expertise in trade surveillance for complex algorithmic markets. He has built and led...
Derivatives
Regulation, enforcement & litigation
Option exercise disputes often turn on documented process, not intent. A recent federal decision vacating a JAMS arbitration shows how outcomes can collapse when discovery later...
Investments & markets
Regulation, enforcement & litigation
Fiduciaries will be permitted to include alternative assets in retail 401(k)s. The DOL will soon publish its guidance on their responsibilities. They will define the next...
Investments & markets
Regulation, enforcement & litigation
Private credit is moving into consumer finance, including credit cards and “Buy Now Pay Later”, a risky form of consumer finance. This migration comes with structural...
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