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Chinese bank affiliate to pay over $45M for ‘phantom’ ADRs, bid-rigging conspiracy
A broker-dealer subsidiary of Industrial and Commercial Bank of China agreed to settle SEC charges that the firm improperly handled "pre-released" American Depositary Receipts while also...
Commissioner Behnam warns inaction on climate change risks will result in severe harm to commodity and financial markets
In a high-profile meeting of the CFTC’s Market Risk Advisory Committee, policy makers, market participants, and academics explored the impacts of climate change on the world economy, and...
FIMSAC criticizes pennying, reaffirms support for new issue corporate bond database
FIMSAC recommendations drew on lessons from the municipal securities market in discouraging pennying and providing a comprehensive database.
Berkovitz trains his eagle eye on undertakings the CFTC should embrace to achieve Dodd-Frank Act objectives
The CFTC commissioner advocated establishing speculative position limits, with appropriate exemptions for bona fide hedging activities, as well as pursuing ways to foster greater competition in the...
Chairman Giancarlo bids swaps industry farewell at FIA IDX conference in London
The chairman pointed to the release of three proposed rulemakings addressing cross-border regulations prior to his departure from the agency later in the summer.