Insider Trading, Market Participants

SEC Insider Trading Enforcement Highlights from 2021

WilmerHale on 12/28/2021

The Securities and Exchange Commission’s (SEC or Commission) actions in 2021 demonstrate that insider trading remains a key enforcement priority. While the absolute number of insider trading enforcement actions brought by the...more

UK Market Abuse Regime Extends Its Reach: Implications for Market Participants

Morgan Lewis on 7/11/2016

The new regime shares the same aims as its predecessor—to ensure the integrity of EU financial markets and enhance investor confidence—and keeps pace with market developments such as new trading platforms, new technology, and...more

Traders and Compliance Professionals Take Note: Phase One of New BIS “Global Code” Establishes “Best Practices” in the Foreign...

Cadwalader, Wickersham & Taft LLP on 6/2/2016

Limitations on Use of Confidential Information is Prominent in the New Standards Continuing Recent Enforcement Trend in the Commodities and Derivatives Markets - On May 26, 2016, the Foreign Exchange Working Group...more

Ontario Creates Significant New Record-Keeping Obligations for Capital Markets Participants

Blake, Cassels & Graydon LLP on 6/30/2015

The Ontario government has amended Ontario’s Securities Act (Act) to expand the scope of prohibited insider trading and enhance the record-keeping requirements imposed upon capital market participants in the province. This...more

Ontario Expands Scope of Prohibited Insider Trading