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1,078 results found

Article

Katten Muchin Rosenman LLP | USA | 21 Apr 2019

SEC OCIE Makes No Secret of Need for Broker-Dealers and Investment Advisers to Up Their Procedures Regarding the Privacy of Customer Records and Information

The watchdog arm of the Securities and Exchange Commission - the Office of Compliance Inspections and Examinations - issued a Risk Alert summarizing

Article

Katten Muchin Rosenman LLP | USA | 14 Apr 2019

New York State Department of Financial Services Revokes Crypto Exchange’s Safe Harbor to Operate Without BitLicense

The New York State Department of Financial Services cancelled the temporary authority of a major cryptocurrency exchange to operate in New York

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 11 Apr 2019

Are DOJ’s FX Prosecutions Ahead of the Law on “Trading Ahead”?

Two recent prosecutions in the foreign exchange (FX) market raise questions about the use of general criminal statutes to regulate a trading

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 2 Apr 2019

“Spoofing” as Fraud: A Novel and Untested Theory of Prosecution

In June 2018, we published an article discussing the Government’s efforts to prosecute defendants who engage in a form of trading activity on

Article

Baker & Hostetler LLP | USA, Australia, United Kingdom, etc. | 2 Apr 2019

2018 Year-End Cross-Border Government Investigations and Regulatory Enforcement Review

In the second year of the Trump administration, U.S. white collar law enforcement priorities became clearer, particularly with regard to

Article

Sidley Austin LLP | USA, United Kingdom, OECD, etc. | 25 Mar 2019

Sidley global insurance review

The insurance industry is global in nature. Insurers and reinsurers are critically important to the world economy. They assume and transfer all

Article

Baker McKenzie | USA | 20 Mar 2019

US Commodity Futures Trading Commission’s Entry Into the Land of Foreign Bribery

On 6 March 2019 the Commodity Futures Trading Commission (CFTC) Division of Enforcement released an Enforcement Advisory addressing companies and

Article

Latham & Watkins LLP | USA, United Kingdom | 20 Mar 2019

CFTC Enters the Market for Anti-Corruption Enforcement

On March 6, 2019, the Division of Enforcement (Division) of the US Commodity Futures Trading Commission (CFTC or Commission) announced that it will

Article

Paul Hastings LLP | USA | 13 Mar 2019

A New Enforcement Agency Joins the World of International Corruption Enforcement

Historically, enforcement of violations of the Foreign Corrupt Practices Act (“FCPA”) has been the exclusive domain of the U.S. Department of Justice

Article

DLA Piper | USA | 12 Mar 2019

CFTC issues advisory incentivizing market participants to self-report foreign corrupt practices

On March 6, 2019, the US Commodity Futures Trading Commission issued an advisory which, for the first time, provides guidance to the business