Monetary Authority Archives - The Industry Spread

Eric J. Pan, Director of CFTC’s Office of International Affairs, to Leave the Agency

June 29, 2019

Since 2015, Pan has led the office that advises the Commission on all international regulatory initiatives, provides guidance regarding international issues raised in CFTC matters, represents the agency in international groups (such as the Financial Stability Board (FSB)), standard setting bodies (such as the International Organization of Securities Commissions (IOSCO)) and bilateral fora, and provides technical assistance to non-U.S. authorities.

SEC Charges Former Panasonic Executives

December 20, 2018

The Securities and Exchange Commission today charged two former senior executives of the U.S. subsidiary of Panasonic Corp. with knowingly violating the books and records and internal accounting controls provisions of the federal securities laws and causing similar violations by the parent company.

SEC Halts Alleged Insider Trading Ring Spanning Three Countries

December 11, 2018

The Securities and Exchange Commission has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he stole while working in the Singapore branch of an investment bank.