International

SEC Charges Massachusetts Investment Adviser with Persuading Retail Investors to Place Money Into an Apparent Overseas Scam Litigation Release No. 24558 / August 12, 2019 ...

Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Commissioner Hester Peirce Tokyo, Japan Aug. 7, 2019 It is an honor to be ...

With a new Prime Minister in the UK who promises a hard exit to Brexit, if necessary, the CFTC’s new Chairman Heath Tarbert pledges to ...

DMO has determined that it is appropriate to grant the Associations’ request to extend CFTC Letter 17-37 to August 12, 2022. DMO believes that, for ...

The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the integration ...

SEC Obtains Fraud Judgments Against Overseas Broker Dealer and Investment Manager Litigation Release No. 24546 / July 29, 2019 SEC v. Beaufort Secs. Ltd. and ...

RELEASE Number 7985-19 July 29, 2019   CFTC Orders Principal of Binary Options Trading Firm to Pay $200,000 for Illegal Off-Exchange Trading and Registration Violations ...

In August 2018, the Commodity Futures Trading Commission (Commission) proposed regulations that would codify the policies and procedures that the Commission is currently following with ...

Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and promulgated by ...

Opening Statement of Chairman J. Christopher Giancarlo before the Open Commission Meeting July 11, 2019 Good morning.  This meeting will come to order.  This is ...