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- Court Chastises SEC for Causing Unwarranted Collapse of Foreign Bank
- NYS Previews Likely New Cybersecurity Regulations for Financial Institutions While Urging Coordination by Other Regulators
- Criminal Charges Filed for Massive Cyber Hack of Banks, Brokers and Other Companies
- ICE Futures US Sanctions FCM for Failing to Record and Maintain Oral Communications in Connection With Block Trades; Other Firms Fined for Wash Sales and Position Limits Violations
- Broker-Dealer Self-Detects Reg SHO System Problem, Suspends Broken System and Self-Reports but Still Sanctioned by FINRA
- Outsourcing of Compliance Functions by IAs May Be Okay but Be Mindful Says OCIE
- FIA Operations Issues Guide to Help FCMs Better Process Exchange and Clearing Fees