Tag Archives: Trading

Updated cybersecurity guidance addresses policies and procedures, insider trading

By Jacquelyn LumbThe SEC has issued new interpretive guidance relating to registrants’ cybersecurity disclosure obligations under the federal securities laws. The guidance updates the interpretive release issued in 2011, elevates it from the staff to the Commission level, and includes … Continue reading

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Letter on prudential regime and remuneration rules for proprietary trading firms

On 16 February 2018, the Dutch Minister of Finance sent a letter to the Dutch Parliament regarding developments around the prudential regime and remuneration rules applicable to investment firms that exclusively deal on own account (handelen voor eigen rekening) in … Continue reading

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Why SEBI is Failing at Regulating Insider Trading in India

[Bhavya Bhandari is currently pursuing an LLM. in Corporation Law at NYU School of Law. She can be reached at bnb288@nyu.edu. The Indian securities market regulator has been criticized in the last two decades for its failure to investigate and … Continue reading

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Broker Thomas Niles Busted by FINRA For UIT Short-Term Trading

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), former Morgan Stanley registered broker Thomas Niles has broken securities laws and internal firm rules. Allegedly, between July 2012 and December 2014, … Continue reading

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Justice Department Charges Eight Individuals with “Deceptive Trading Practices” on Commodities Markets

On Monday, January 29, 2018, the Justice Department announced charges against eight individuals accused of manipulating U.S. commodities markets for financial gain. Seven of the eight individuals were charged with spoofing. Spoofing refers to a fraud tactic that involves the … Continue reading

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