Work Area: Capital markets & securities

ASIC’s immunity policy threatens to undermine companies’ whistleblower programmes  

Australian companies should be wary of employees circumventing internal reporting structures and going straight to the securities regulator with allegations of market misconduct following the release of a new immunity policy.

17 March 2021

Acquitted FX trader: DOJ “purposeful and spiteful” in preventing access to evidence

Ex-JPMorgan trader Richard Usher has accused the US Justice Department of cynically blocking his efforts to use exculpatory evidence in ongoing administrative proceedings brought by the US banking regulator.

15 March 2021

Rio Tinto set to go to trial in Australia in 2022 over alleged Mozambique fraud

24 February 2021

Brazilian regulator to probe appointment of new Petrobras head

22 February 2021

FCA charges former Goldman Sachs analyst and ex-Clifford Chance lawyer with insider trading

16 February 2021

SEC divided over settlement policy change

Two commissioners have criticised a decision by the US financial regulator to stop the enforcement division from recommending settlements that include simultaneous waiver requests.

15 February 2021

Federal prosecutors open market manipulation probe over Reddit-fuelled trading

12 February 2021

Exercising right to silence “easier” for individuals after ECJ insider trading ruling

Lawyers across the EU have welcomed a European court ruling that clarifies an individual’s right to silence in regulatory market abuse investigations.

10 February 2021

BaFin orders Goldman Sachs to comply with German anti-money laundering law

05 February 2021

One charged and more suspects in German emissions cheating probes

29 January 2021

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