To read the Digest online, click here.
This week's issue addresses the following topics:
- SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting
- CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors
- CFTC Issues No-Action Relief for SEF Confirmation and Recordkeeping Requirements and Confirmation Data Reporting Requirements
- CFTC Provides Guidance on Calculating Projected Operating Costs by SEFs
- ESMA Issues Call for Evidence on Virtual Currency
- Judge Declines to Dismiss Spoofing Charges Against High Frequency Trader
- SEC Grants Compliance Officer $1.4 to $1.6 Million Whistleblower Award
- DOL Proposes to Revise Definition of “Fiduciary” Under ERISA
- FCA Publishes New Procedures and Forms for Disclosure of Material Changes by Non-UK Managers Marketing in the United Kingdom
- European Council Approves Strengthened EU Anti-Money Laundering Rules
- ESMA Consults on Knowledge and Competence Requirements
