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395 results found

Article

William Roberts Lawyers | Australia | 21 Nov 2018

Bank between judicial rock and regulatory hard place

Westpac can’t take a trick. It’s been trying to pay a $35 million penalty for consumer credit contraventions agreed with ASIC, but the Federal Court

Article

Proskauer Rose LLP | USA | 14 Nov 2017

SEC Chairman Jay Clayton’s Remarks on ICOs

In his remarks at a recent Practicing Law Institute program on securities regulation, Securities and Exchange Commission Chairman Jay Clayton once

Article

Cummings Law Ltd | European Union | 27 Apr 2016

Market Abuse Regulation

The Market Abuse Regulation 5962014 (MAR) establishes a new, common regulatory framework on market abuse, as well as measures to prevent market

Article

Herbert Smith Freehills LLP | USA, Australia, United Kingdom, etc. | 16 Apr 2015

Market abuse update April 2015

2014 was marked by record fines for benchmarkmManipulation globally, criminal prosecutions for insider trading and market manipulation, and the first

Article

Herbert Smith Freehills LLP | USA, Australia, United Kingdom, etc. | 15 Dec 2014

Market abuse update

The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably

Article

Squire Patton Boggs | USA, Switzerland, United Kingdom | 24 Nov 2014

Global financial regulators issue record-breaking fines for foreign exchange benchmark rate manipulation

On November 12, 2014, the Commodity Futures Trading Commission (CFTC), the Office of the Comptroller of the Currency (OCC), the UK's Financial

Article

King & Spalding LLP | USA, Global | 4 Feb 2014

Crude allegations: corruption in the energy trading sector

The world-wide energy trading sector, where traders match physical supply and demand of energy by purchasing, reselling, and moving commodities

Article

A&L Goodbody | European Union | 15 Nov 2011

New market abuse regime proposed

The European Commission has published its plans to introduce a new Regulation on Market Abuse and a Directive on Criminal Sanctions for Market Abuse, to replace the existing EU Market Abuse regime.

Article

Winston & Strawn LLP | USA, United Kingdom | 7 Nov 2011

Insights from Winston & Strawn

MF Global Inc. made the headlines after filing for Chapter 11 protection at the end of October, in the biggest collapse of a financial firm since that of Lehman Brothers in 2008.

Article

Reed Smith LLP | European Union | 25 Oct 2011

Replacements for MiFID and MAD? The key issues for commodity and energy traders

On Thursday 21 October, the European Commission published two sets of long anticipated legislative proposals that will have major effects on commodity and energy traders

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