To read this week's Bridging the Week, click here.
- Bah Humbug—CME Group Fines Firms for Inadequate Documentation of EFRPs; Additional Firms Cited for Pre-Hedging Block Trades and Other Violations by CME Group and IFUS
- Global Food Merchant's Motion to Dismiss CFTC's Enforcement Action for Alleged Manipulation Denied
- Swap Dealers Given Initial Margin Requirement Break for Intra-Affiliate Transactions Under CFTC Final Margin Rule
- Bank Sanctioned US $307 Million by CFTC and SEC for Alleged Conflicts of Interest in Investing Clients' Funds
- Broker-Dealer Fined US $1.25 Million for Not Fingerprinting Non-Registered Employees
- CFTC Proposes Enhanced Cybersecurity Rules for Exchanges, Clearing Houses and Data Repositories
- CME Group Amends Clearing Member Audit Trail Retention Requirements for Direct Access Clients—or Does It?
- Swap Dealers and MSPs Reminded by CFTC Staff to Report Uncleared Swaps Timely and Accurately—or Else
New York
