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Capital markets & securities

Work Area: Capital markets & securities

US court permits ex-CFTC official to testify in JPMorgan spoofing case

07 May 2021

AMF records more settlements and modest investigations increase

16 April 2021

Rio Tinto and SEC spar over expert witnesses in Mozambique fraud case

The US securities regulator and Anglo-Australian mining company Rio Tinto are attempting to strike out each other’s expert witnesses ahead of a fraud trial linked to a Mozambique coal mine.

13 April 2021

New Zealand central bank opens new enforcement department

13 April 2021

German regulator warned before Greensill Bank collapse

01 April 2021

SEC opens probe into head of Archegos Capital Management

01 April 2021

FCA investigates more individuals over cum-ex allegations

31 March 2021

SEC seeks appeal of Rio Tinto ruling before trial starts

30 March 2021

Coinbase settles CFTC probe into trading data errors

22 March 2021

Court upholds spoofing convictions for ex-Deutsche Bank traders

The Chicago federal court has thrown out James Vorley and Cédric Chanu’s arguments that jurors wrongly convicted them of wire fraud over a scheme to spoof precious metals markets.

19 March 2021