To read Bridging the Week, click here.

This week's issue addresses the following topics:

  • CFTC Sues Lawyer in Federal Court for Aiding and Abetting Clients’ Legal Violations 
  • CFTC and SEC Chairs Testify Before Senate Banking Committee on Dodd-Frank Progress
  • Introducing Broker Sued by CFTC for Failing to Follow AML Procedures
  • CFTC Harmonizes Marketing Requirements for Certain Private Funds With SEC Rules
  • SEC Sues Bank Holding Company for Inaccurately Reporting True Volume of Delinquent Loans
  • IOSCO Updates Survey Regarding the Regulation and Supervision of Commodity Derivatives Markets
  • OTC Derivatives Regulator Group Issues Status Update
  • HK SFC Brings Action Against CITIC Limited and Former Chairman and Executive Directors Related to 2008 Financial Disclosure
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