To read this week's Bridging the Week, click here.
- Broker-Dealer Sanctioned by SEC for Anti-Money Laundering Breakdowns
- ESMA Seeks Comment on Distributed Ledger Technology
- International Bank and Affiliates Settle Two CFTC Enforcement Actions for Alleged Benchmarks Manipulation
- HK SFC Sanctions Broker for Effectuating Transactions for Korean Intermediary Without Ability to Know Ultimate Client Identities
- Investment Adviser Settles With SEC for Acting as a Broker-Dealer Without Registration
- Broker-Dealer Charged by FINRA for Failing to Protect Customer Assets; Other Broker-Dealers Sanctioned for Not Complying With Customer Confirmation and Best Execution Requirements
- CME Group Settles With Non-Members for EFRP and Disruptive Trading Violations
- Federal Appeals Court Says Defendant Must Wait Before Challenging SEC Administrative Process
- CFTC Proposes to Authorize Exchanges to Grant Physical Commodity Users Hedging Exemptions Related to Speculative Position Limits
- IFUS and ICE Futures Europe Update Block Trade Guidance
- Dan Roth, NFA Veteran, Current President and CEO, Announces Retirements