To read Bridging the Week click here:
- CFTC Issues CME Group Report Card: Scores Generally Good But NYMEX and COMEX Directed to Continue to Enhance Spoofing Surveillance
- IOSCO Consults on Cross-Border Regulation
- Citigroup Unit Sanctioned US $15 Million by FINRA for Equity Research Dissemination Practices
- HSBC Swiss Private Banking Unit Fined US $12.5 Million by SEC for Providing Services to US Clients While Being Unregistered
- Deutsche Bank Sanctioned Almost $200,000 by ICE Futures U.S. for One-Time Speculative Limit Violation; CME Group Fines Three Firms for Documentation Issues Related to EFRPs
- SEC Sues Former Principals of Sanctioned Broker-Dealer for Causing Firm Not to Pay Agreed-Upon Fine
- Canadian Securities Regulators Propose Adoption of International Standards for Clearing Agencies
- ISDA Issues Principles for CCP Recovery
- Follet’s Edge of Eternity Provides Bittersweet Nostalgic Trip Down 60’s and 70’s Memory Lane for Baby Boomers