IOSCO staff identified key trends and examined potential risk areas in global financial markets in a report titled Securities Markets Risk Outlook 2016.
News & Insights
The SEC announced that a wireless technologies company agreed to pay a $7.5 million civil penalty to settle charges that it violated the Foreign Corrupt Practices Act. This settlement marks the first instance in which a non-bank was charged with hiring practice-related FCPA violations.
A federal jury in the Southern District of New York found two brokers liable for insider trading in SEC v. Payton et al. The inside information concerned a $1.2 billion acquisition of a software company.
The Cabinet Regulatory Tracker provides a list of significant effective dates and comment deadlines.
The FDIC, the Board of Governors of the Federal Reserve System and the OCC issued guidance to clarify supervisory expectations for an effective funds transfer pricing framework.