Regulatory Oversight

At LDI, transparency, regulatory compliance, and operational integrity are fundamental to protecting our clients’ interests.

The U.S. financial markets operate under the oversight of two primary federal regulatory agencies: the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC). Together, these agencies are responsible for maintaining fair, orderly, and efficient markets, protecting investors, and enforcing the federal laws governing securities, commodities, derivatives, and other financial markets.

Our trading activities are conducted through properly regulated financial institutions that are subject to applicable SEC and/or CFTC regulations, as well as other required regulatory and compliance standards. These institutions maintain the registrations and reporting obligations required for the markets in which they operate.

Federal regulators have broad authority to examine regulated firms, review books and records, conduct audits and investigations, and enforce compliance with applicable laws and regulations. This regulatory framework is designed to promote market integrity, safeguard client assets, and ensure that firms operating within the U.S. financial system adhere to strict operational and compliance standards.

We are committed to conducting our business within this established regulatory framework while maintaining the highest standards of professionalism, accountability, and fiduciary responsibility to our clients.