Work Area: Capital markets & securities

CFTC agrees two settlements with HSBC over spoofing, record-keeping failures

12 May 2023

Alvarez & Marsal to support Glencore monitorship

Glencore announced in its annual ethics report that its recently-accepted compliance monitors will be working with the forensic accounting firm.

28 April 2023

US moves to dismiss Libor charges against ex-SocGen bankers

Prosecutors in Brooklyn asked a federal court to drop charges against Muriel Bescond and Danielle Sindzingre for allegedly participating in a scheme to manipulate the Libor interest rate.

30 March 2023

US adds FCPA conspiracy charge to Bankman-Fried indictment

Prosecutors allege that Sam Bankman-Fried, the founder of cryptocurrency exchange FTX, bribed Chinese government officials to unfreeze accounts.

28 March 2023

Precious metals traders sentenced in spoofing case

10 March 2023

Short-seller accuses Piedmont Lithium, UK mining company of Ghanaian bribery

A short-seller accuses US lithium manufacturer Piedmont Lithium of performing lacklustre due diligence and leaving itself open to FCPA scrutiny when it invested in a UK mining company.

09 March 2023

Ethnic prejudice questions surface in Fifa bribery trial

A judge ordered all sides of the ongoing Fifa trial to stop submitting filings about a motion to sever the case based on allegations that arguments presented by the government and a corporate co-defendant are prejudicial.

07 February 2023

DOJ seeks two-year sentence for ex-Merrill Lynch traders

09 January 2023

ASIC issues fourth greenwashing fine

05 January 2023

UK convicts financiers of defrauding Libyan sovereign wealth fund

08 December 2022

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