December 2019
CFTC Orders Goldman Sachs to Pay $1 Million for Recordkeeping Violations
CFTC issued an order filing and simultaneously settling charges against Goldman Sachs & Co.
November 2019
CFTC Division of Enforcement Issues 2019 Annual Report
The U.S. Commodity Futures Trading Commission’s Division of Enforcement (DOE) today issued its Fiscal Year (FY) 2019 Annual Report.
Equities Decline on Trade Jitters, Wall Street to Close Early on Black Friday
US trading session comes to close for the week amid a lack of investor participation from the US market on thanksgiving and black Friday celebrations.
SEC Charges Biotech Company and Executives With Accounting Fraud
The Securities and Exchange Commission today charged Georgia-based biotech company MiMedx Group Inc.
International Financial Regulation and Supervision:Past Achievements, Current Issues, and Future Agendas
I am very honored to have the opportunity to speak at the Paris Europlace Financial Forum again this year.
Asian Equities Retreat After President Trump Signs Hong Kong Legislation
Asian stock indices ended the session lower today after President Trump signed the legislation backing the Hong Kong protests.
Also filing this week: Rick Steves, Karthik Subramanian and Abdelaziz Fathi.