In a year of increased volatility across the world’s financial markets, prosecutors, regulators and exchanges on both sides of the Atlantic sharpened their focus on “spoofing” – i.e., bidding or offering without the intent to...more
2/24/2021
/ CFTC ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Financial Markets ,
Market Manipulation ,
Market Participants ,
Securities Regulation ,
Securities Traders ,
Securities Violations ,
Spoofing ,
UK ,
White Collar Crimes
Key Takeaways -
The COVID-19 coronavirus outbreak has undoubtedly increased firms’ exposure to market abuse risks in a number of ways:
Due to the rapidly changing consequences of restrictions caused by COVID-19 for...more
4/7/2020
/ Business Continuity Plans ,
Compliance ,
Coronavirus/COVID-19 ,
Financial Conduct Authority (FCA) ,
Global Market ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Hong Kong Stock Exchange ,
Insider Information ,
Liquidity ,
Market Abuse ,
Publicly-Traded Companies ,
Remote Working ,
Securities and Exchange Commission (SEC) ,
SEHK ,
UK ,
United States
On February 12 2019 the Crime (Overseas Production Orders) Act 2019 (the “COPO Act”) came into force in the UK. This new law gives UK authorities (including the Serious Fraud Office (“SFO”) and the Financial Conduct Authority...more
3/8/2019
/ CLOUD Act ,
Cloud Service Providers (CSPs) ,
Crime (Overseas Production Orders) Act 2019 (the COPO Act) ,
Designated International Co-Operation Agreement (DICA) ,
Document Productions ,
Electronically Stored Information ,
Financial Conduct Authority (FCA) ,
Foreign Jurisdictions ,
HMRC ,
International Litigation ,
Long Arm Statute ,
National Crime Agency (NCA) ,
Nexus ,
Overseas Production Order (OPO) ,
Serious Fraud Office (SFO) ,
UK ,
UK Brexit