... by self-reporting the violation and cooperating with the SEC enforcement staff. Design/methodology/approach Explains Gladius’ self-reporting, cooperation and remedial steps; why the SEC imposed no civil penalty on Gladius; and two similar cases the SEC instituted in July 2018 against companies...

... that the CFTC is focused on actively monitoring the markets, and will continue to pursue actions involving reporting violations, fraud, manipulation, cryptocurrencies, and disruptive trade practices while rewarding parties for self-reporting and cooperation. Originality/value This paper contains valuable...

...Cynthia Tang; Bryan Ng; Gloria Ng Purpose The purpose of this paper is to discuss the new “Guidance Note on Cooperation with the SFC” released by the Hong Kong Securities and Futures Commission (“SFC”) on 12 December 2017, which updates the SFC’s previous guidance note issued in 2006. Design...

...Bradley J. Bondi; David Slovick; Michael Wheatley Purpose To provide an overview of the Commodity Futures Trading Commission’s (CFTC’s) new self-reporting and cooperation program. Design/methodology/approach Summarizes the key features of the CFTC’s new cooperation program and the CFTC’s...