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Market Conduct

  • DOJ enforcement priorities in commodities & derivatives markets: A discussion with DOJ leadership

    During this discussion, James McDonald, Sullivan & Cromwell Partner, interviews Robert Zink, U.S. Department of Justice, Acting Assistant Attorney General (and Chief of the DOJ Fraud Section from January 2019 to August 2020), regarding DOJ’s enforcement priorities in the commodities and derivatives markets and white collar area more generally.

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  • CFTC enforcement update: 2020 in review and outlook for 2021

    This panel provides an overview of the CFTC’s considerable volume of enforcement activity in 2020. Panelists focus on enforcement trends and developments while also recapping the busy regulatory agenda of the outgoing administration. The panel provides a look ahead to what market participants can expect from the CFTC under the incoming Biden Administration in 2021.

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  • Market Surveillance Guidelines

    In this webinar, speakers discussed the recently published FIA Market Surveillance Guidelines and addressed requirements expected by the UK’s Financial Conduct Authority relating to market abuse systems and controls that market participants are required to have pursuant to Article 16 MAR.

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  • FIA releases surveillance and market abuse guidelines

    London, UK – FIA today released new guidelines to assist market participants in fulfilling obligations set by UK and European regulators in relation to surveillance and market abuse requirements.

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  • How Artificial Intelligence Can Stop Market Manipulation

    This past March, a group of venture capital firms and banking organizations led by BNP Paribas invested $30 million into Digital Reasoning, a privately held company based in Nashville that is emerging as one of the leaders in using artificial intelligence to analyze human communications.

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  • Enforcement Trends: CFTC Fines Bank of Tokyo for Spoofing but Rewards Bank for Cooperation

    On Aug. 7, the CFTC announced a settlement with The Bank of Tokyo-Mitsubishi UFJ for engaging in "multiple acts of spoofing" in interest rate futures listed on the Chicago Mercantile Exchange and the Chicago Board of Trade.

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  • Compliance collaboration

    SGX Launches Initiatives to Address Spoofing and Other Market Misconduct

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  • FIA seeks clarification on FERC reporting rule

    On Sept. 19, FIA filed a comment letter with the Federal Energy Regulatory Commission, the agency that oversees U.S. wholesale markets for physical power and natural gas, seeking clarification about the scope of a proposed rule aimed at strengthening FERC’s ability to prevent market manipulation.

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  • FIA submits Market Abuse Regulation response

    FIA submitted its response jointly with the International Swaps and Derivatives Association to ESMA’s consultation on guidelines on information required or reasonably expected to be disclosed on commodity derivatives markets or related spot contracts under Art 7 (5) of the Market Abuse Regulation.

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  • FIA, AFME, BBA and ISDA respond to FCA handbook changes relating to MAR

    FIA today submitted its response, along with Association for Financial Markets Europe (AFME), British Bankers Association (BBA) and International Swaps and Derivatives Association, to FCA's consultation paper on changes to the Handbook relating to implementation of the Market Abuse Regulation.

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