To read this week’s Bridging the Week click here:

  • ICE Futures U.S. and Canada Amend Rules to Expressly Prohibit Disruptive Trading Practices
  • In Time for Christmas, CFTC Gives FCMs, SDs and MSPs Gift of Time Extension to File CCO Annual Report; However, Adds Content Requirements As the Price
  • FCM Fined US $3 Million by CFTC for Improper Investment of Customer Funds and Financial Reporting, Recordkeeping and Supervision Violations
  • Broker-Dealer Fined US $3 Million by FINRA for Customer Protection Rule Violations
  • CME Group Amends Proposed Guidance Related to Wash Trade Rules and Block Trades
  • CFTC Advisory Subcommittee Recommends Globally Coordinated NDF Clearing Mandate With a Clear Timeline
  • Monex Securities Sanctioned by FINRA for Not Registering and Supervising Non-US Personnel; President and Chief Compliance Officer Suspended
  • MF Global Holding Company Settles With CFTC Related to Subsidiary’s Collapse
  • Investment Company and Former CEO Charged With Defrauding Investors Related to Sale of Index Products Using ETFs; Firm Settles by Payment of US $35 Million
  • BIS Proposes Changes to Standardized Approach to Credit Risk
  • UK FCA Consults on Potentially Overseeing Other Benchmarks