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Broker-Dealer Market Abuse

Latham & Watkins LLP

Singapore Proposes Regulatory Enhancement to Detect Market Abuse

Latham & Watkins LLP on

MAS hopes to strengthen controls on market abuse with new client identification and record keeping requirements for FIs. Key Points: ..In August 2019, the Monetary Authority of Singapore (MAS) proposed four new...more

Akin Gump Strauss Hauer & Feld LLP

In Principle - 10 Things Authorised Firms Need To Know For 2019

In the 2018 edition of this publication, we ended the introduction with the line, “We can only hope that we will enter 2019 with greater certainty than 2018 as to how the regulatory landscape will look.” Unfortunately,...more

A&O Shearman

UK Brokerage Firm Fined for Inadequate Controls Against Potential Market Abuse

A&O Shearman on

The U.K. Financial Conduct Authority has published a Decision Notice (dated June 7, 2018) imposing a fine of £409,300 on a U.K. brokerage firm for failure to take reasonable care to organize and control its affairs...more

Vedder Price

Highlights From SEC Speaks 2018: Litigation and Enforcement Trends

Vedder Price on

The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more

Blank Rome LLP

Regulatory Update and Recent SEC Enforcement Actions

Blank Rome LLP on

FINRA Bar Results from Assertion of Fifth Amendment Right against Self-Incrimination in Criminal Action - On October 5, 2016, the Financial Industry Regulatory Authority (“FINRA”) barred an indicted investment adviser,...more

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