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  • CFTC Commissioner Bowen Argues for User Fees During House Subcommittee Hearing; Commissioner Wetjen Calls for Bankruptcy Law Amendments to Permit Individual Segregation of Customer Funds
  • CFTC Sues Respondents, Including Lawyer, for Single Stock Futures Pre-Arranged Trading to Pass Money
  • Alleged Spoofer Fails to Convince Court to Dismiss Indictment
  • US Department of Labor Proposes to Extend Fiduciary Standards to Advisers of Purchasers of More Kinds of Retirement Assets
  • BNY Mellon Fined GBP 126 Million by UK FCA for Failure to Comply With Custody Rules
  • Block Trades, EFRPs and Position Limits Are Continued Subjects of CME Group’s Enforcement Focus
  • NY AG Settles With Ernst & Young Over Alleged Financial Statement Fraud Prior to Lehman Collapse
  • Deutsche Bank Branch in Dubai Fined for AML, Client Onboarding and Governance Weaknesses
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