Regulatory

SEC charges two former JP Morgan Chase traders Fallback Image Decorative pattern

Industry

SEC charges two former JP Morgan Chase traders

The Securities and Exchange Commission has charged two former traders at JPMorgan Chase & Co. with fraudulently overvaluing investments in order to hide massive losses in a portfolio they managed.

By Staff |August 15, 2013

3 min read

Rep fined, suspended for borrowing from client Fallback Image Decorative pattern

Industry

Rep fined, suspended for borrowing from client

On July 25, 2013, a hearing panel of the Investment Industry Regulatory Organization of Canada accepted a settlement agreement, with penalties, between IIROC staff and Jacques Turenne.

By Staff |August 14, 2013

1 min read

CFTC targets banks, warehouses during metals probe Fallback Image Decorative pattern

Industry

CFTC targets banks, warehouses during metals probe

The U.S. Commodity Futures Trading Commission has subpoenaed a metals warehousing firm.

August 13, 2013

1 min read

CSA offers update on systems transition Fallback Image Decorative pattern

Industry

CSA offers update on systems transition

CSA has provided more information about its transition to a new national systems service provider.

By Staff |August 12, 2013

1 min read

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