The Commodity Futures Trading Commission (CFTC) is taking a major step toward modernizing its oversight capabilities by deploying Nasdaq’s advanced market surveillance technology. The move upgrades the agency’s decades-old legacy system with cross-market monitoring and automated fraud detection tools designed to protect U.S. derivatives markets.
TerraCom Limited will pay a $7.5 million penalty after admitting to victimizing a whistleblower, marking the Australian Securities and Investments Commission’s (ASIC) first enforcement outcome under the whistleblower provisions of the Corporations Act.
Australia’s corporate watchdog has launched civil penalty proceedings against Equity Trustees Superannuation Limited, alleging the trustee failed in its gatekeeping role when overseeing investments in the Shield Master Fund.
For eight years, one of the world’s biggest banks was publishing research on Hong Kong-listed companies with a blind spot. Key disclosures were either missing or wrong. Now, regulators have stepped in.
The Bureau of Industry and Security (BIS), housed within the US Department of Commerce, is one of Washington’s central gatekeepers of national security and foreign policy. Its mission is carried out largely through export controls, which determine who can access sensitive US-origin goods, software, and technology.
When Carole Switzer talks about lawyers and their role in governance, risk, and compliance, she doesn’t sound like someone reading off a checklist. She sounds more like a coach urging a team to play the bigger game.
JPMorgan Chase will pay $330 million to Malaysia to settle claims linked to the country’s 1MDB sovereign wealth fund scandal, even as its Swiss private banking arm faces a criminal conviction for failing to prevent aggravated money laundering.