‘Enforcement 40’ for 2020
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By Securities Docket on December 11, 2015, 3:43 pm
Until last week, the CFTC had never been brought an insider trading case for commodities trading. Four years after adopting Regulation 180.1, the CFTC brought its first such case last week against a gasoline trader who allegedly was privy to, and traded upon, inside information regarding the intended trading of his employer. via CFTC Brings […]
By Securities Docket on December 11, 2015, 11:26 am
The Philippines doesn’t make a lot of news in the securities enforcement world. When the Philippines Securities and Exchange Commission does prosecute and convict someone for a major securities fraud, however, it doesn’t play around! via The Philippines Not Playing Around With Pyramid Schemers | Compliance Week