To read this week’s Bridging the Week click here:
- ICE Futures U.S. and Canada Amend Rules to Expressly Prohibit Disruptive Trading Practices
- In Time for Christmas, CFTC Gives FCMs, SDs and MSPs Gift of Time Extension to File CCO Annual Report; However, Adds Content Requirements As the Price
- FCM Fined US $3 Million by CFTC for Improper Investment of Customer Funds and Financial Reporting, Recordkeeping and Supervision Violations
- Broker-Dealer Fined US $3 Million by FINRA for Customer Protection Rule Violations
- CME Group Amends Proposed Guidance Related to Wash Trade Rules and Block Trades
- CFTC Advisory Subcommittee Recommends Globally Coordinated NDF Clearing Mandate With a Clear Timeline
- Monex Securities Sanctioned by FINRA for Not Registering and Supervising Non-US Personnel; President and Chief Compliance Officer Suspended
- MF Global Holding Company Settles With CFTC Related to Subsidiary’s Collapse
- Investment Company and Former CEO Charged With Defrauding Investors Related to Sale of Index Products Using ETFs; Firm Settles by Payment of US $35 Million
- BIS Proposes Changes to Standardized Approach to Credit Risk
- UK FCA Consults on Potentially Overseeing Other Benchmarks