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- Hackers and Traders Charged by SEC and Department of Justice in International Securities Fraud Scheme
- UK High Court Penalizes Traders GBP 7.5 Million for Layering
- SEC Sanctions ITG and Affiliate for Dark Pool Abuses
- ALJ Upholds Natural Gas Manipulation Charges Against BP by FERC
- ESMA Proposes to Rethink Third-Country CCP Recognition Process and Other Aspects of EMIR Framework
- Disgorgement and Fines Ordered in Two CME Group Disciplinary Actions Alleging Position Limit Violations
- Guggenheim Partners Agrees to Pay US $20 Million Penalty for Alleged Conflicts Non-Disclosure to Clients
- Barbara Duka Obtains Preliminary Injunction Against SEC Prosecuting Her in an Administrative Tribunal
- Yet Another Firm Fined for Reg SHO Violations by FINRA
- Encore! Encore! CFTC Again Extends Relief to Certain Non-US Swap Dealers Relying on US Operations