Work Area: Capital markets & securities

ICO publishes SEC data sharing guidance for UK companies

20 January 2021

US prosecutors look to block expert witness in JPMorgan spoofing case

11 January 2021

SEC enforcement director set to leave

11 December 2020

Ex-Deutsche Bank traders request new trial citing post-conviction disclosures

08 December 2020

Ex-Deutsche Bank traders challenge DOJ’s spoofing loss calculations

Two convicted former traders say a new method used by the DOJ to calculate losses caused by spoofing may dramatically increase their potential sentences.

26 November 2020

Singapore’s financial regulator speeds up investigations

Featured in Investigator's Guide to Singapore

The Monetary Authority of Singapore has reduced the amount of time it takes to investigate potential misconduct.

04 November 2020

SEC has record enforcement year despite pandemic challenges

The agency’s annual report highlights its record enforcement numbers, its likely response to a Supreme Court ruling limiting its disgorgement powers, a significant uptick in whistleblower payouts and the agency’s first virtual trial amid the coronavirus pandemic.

03 November 2020

CFTC fines US hedge fund and trader for spoofing

29 September 2020

Rio Tinto and purported whistleblower settle employment dispute

The parties resolved a complaint that has drawn the attention of the SFO and financial regulators in four countries ahead of a hearing to consider the UK’s jurisdiction over the matter.

28 September 2020

Steven Peikin: “We faced incredible headwinds”

The SEC’s former co-director of enforcement recounted working through Supreme Court-imposed restrictions, a hiring freeze and investigations hampered by the coronavirus pandemic.

24 September 2020

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