Global Investigations Review - The law and practice of international investigations

CFTC

People News: four financial crime barristers join London chambers

People News: four financial crime barristers join London chambers

19 October 2020

In the latest roundup, four barristers specialising in economic crime have joined a London chambers and a former foreign bribery prosecutor has joined a Washington, DC, firm.

CFTC records another year of aggressive spoofing enforcement

CFTC records another year of aggressive spoofing enforcement

15 October 2020

The US commodities regulator almost equalled its annual record for the number of penalties it handed down for market manipulation in the past year.

US hands JPMorgan largest ever spoofing penalty

US hands JPMorgan largest ever spoofing penalty

29 September 2020

The DOJ said that the bank did not need a monitor owing to its substantial cooperation and remediation – which included the hiring of hundreds of compliance staff.

False statements and disclosure issues fuel Scotiabank’s market manipulation settlements

False statements and disclosure issues fuel Scotiabank’s market manipulation settlements

20 August 2020

The Canadian bank must appoint an independent compliance monitor and hire over 200 new compliance staff as a condition of the settlements.

Deutsche Bank resolves US spoofing and swap reporting probes

Deutsche Bank resolves US spoofing and swap reporting probes

18 June 2020

The US Commodities and Futures Trading Commission said that it significantly reduced the penalties due to the bank’s cooperation in both investigations.

Lawyers encouraged by CFTC vow to avoid piling on

Lawyers encouraged by CFTC vow to avoid piling on

27 May 2020

The US commodities watchdog has said that it will recognise punishments issued by other agencies when calculating its own civil penalties.

Spoofing defendants target allegations of prosecutorial misconduct

Spoofing defendants target allegations of prosecutorial misconduct

26 February 2020

Former traders in two separate spoofing cases have demanded information from the DOJ related to “allegations of serious prosecutorial misconduct”.

CFTC enforcement chief lays out nuances of self-reporting

CFTC enforcement chief lays out nuances of self-reporting

16 May 2019

James McDonald has explained that companies could get credit for self-reporting foreign corruption to the CFTC even if they’ve already come forward to the DOJ.

CFTC investigates Glencore for corruption

CFTC investigates Glencore for corruption

25 April 2019

The CFTC, which recently announced its foray into foreign bribery cases, is investigating Anglo-Swiss mining company Glencore over “corrupt practices”.

Former CFTC director explains increase in whistleblowers

Former CFTC director explains increase in whistleblowers

06 June 2017

Speaking to GIR after rejoining Zuckerman Spaeder, former CFTC enforcement director Aitan Goelman spoke of the reasons behind a rise in tips the agency is receiving through its whistleblower programme.

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Reviews

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Europe, Middle East and Africa Investigations Review 2020

Highlights

Anti-Money Laundering Trends and Challenges

Deborah Luskin, Anant Modi, Selma Della Santina and Sarah Wrigley

Forensic Risk Alliance

Cleaning up the Mess: Effective Remediation in Internal Investigations in Africa

Benjamin S Haley, Sarah Crowder, Randall D Friedland and Thomas McGuire

Covington & Burling
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Guides

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The Guide to Monitorships - Second Edition

Highlights

9. Monitorships in East Asia

Jason J Kang, Daniel S Lee, Nan Wang, Ryan Middlemas and Hangil Lee

Kobre & Kim

10. Switzerland-ordered Monitorships

Simone Nadelhofer and Daniel Lucien Bühr

LALIVE
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Know-how

Securities & Related Investigations

Highlights

Canada

Lawrence E Ritchie and Lauren Tomasich

Osler Hoskin & Harcourt LLP

Brazil

Renato Tastardi Portella , Marcel Ribas , Renato Ximenes , Marianno Carneiro da Cunha and Pamela Michelena De Marchi Gherini

Mattos Filho, Veiga Filho, Marrey Jr e Quiroga Advogados

All know-how

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