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SEC sued by 18 state AGs for unconstitutional overreach
The suit relates to the SEC’s controversial position that most cryptocurrencies are securities.
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Energy’s rising importance is matched by regulatory scrutiny
Government concern about the state of the energy markets has led to new rules, and to action by regulators targeted at the energy and commodity sector.
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Consumer Duty, bundling, reporting and DORA discussed at compliance roundtable
Rumors addressed included the SEC being active in London and a crackdown on illegal marketing.
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CFTC Commissioner Pham on the agency’s role in regulating digital assets
US Commissioner Caroline Pham discussed the CFTC’s role in regulating digital assets in front of an international audience at City Week in London.
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CFTC Chair Rostin Behnam voices concern over cryptoasset ETPs
Opaque and inconsistent practices need to be addressed, Behnam said.
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Two former JPMorgan traders sentenced to prison for fraud and market manipulation
The defendants had held positions as the company’s Head of Global Precious Metals Business and Head Gold Trader in New York.
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Dealers in principal under the regulatory spotlight
High level summary of the FCA’s supervisory priorities vis-a-vis Principal Trading Firms – key takeaways and top tips.
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CFTC brings charges in ‘pig butchering’ case involving digital asset commodities
CFTC brings enforcement action for misappropriation of over $1.3m in customer funds intended for digital asset commodity and forex trading.