To read this week’s Bridging the Week, click here.
- CFTC Commissioner Bowen Argues for User Fees During House Subcommittee Hearing; Commissioner Wetjen Calls for Bankruptcy Law Amendments to Permit Individual Segregation of Customer Funds
- CFTC Sues Respondents, Including Lawyer, for Single Stock Futures Pre-Arranged Trading to Pass Money
- Alleged Spoofer Fails to Convince Court to Dismiss Indictment
- US Department of Labor Proposes to Extend Fiduciary Standards to Advisers of Purchasers of More Kinds of Retirement Assets
- BNY Mellon Fined GBP 126 Million by UK FCA for Failure to Comply With Custody Rules
- Block Trades, EFRPs and Position Limits Are Continued Subjects of CME Group’s Enforcement Focus
- NY AG Settles With Ernst & Young Over Alleged Financial Statement Fraud Prior to Lehman Collapse
- Deutsche Bank Branch in Dubai Fined for AML, Client Onboarding and Governance Weaknesses