United States

Australian Banks Begin Reporting OTC Derivatives

By Editors | 04/10/2013

The Depository Trust & Clearing Corporation (DTCC) today announced that five of the major Australian banks active in the over-the-counter […]

Securities / Derivatives

Regulators from Asia attend meeting at ESMA

By Editors | 03/10/2013

Principals and senior representatives of authorities responsible for the regulation of the over-the-counter (OTC) derivatives markets in Australia, Brazil, the […]

SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan

By Editors | 27/09/2013

The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and […]

Thailand Based Trader Pays $5.2M SEC Settlement

By Editors | 06/09/2013

The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC […]

SEC Issues Risk Alert on Options Trading

By Editors | 15/08/2013

The SEC has issued a Risk Alert to help market participants detect and prevent options trading that circumvents an SEC […]

Securities / Derivatives

US Lawmakers Subpoena JPM, BofA Chiefs Over CATL's Hong Kong IPO

By Manesh Samtani

House committee demands information on banks' role in CATL listing, citing the battery giant's alleged ties to China's military.