To read Bridging the Week, click here.
This week’s issue addresses the following topics:
- Broker-Dealer and Two Senior Officers Fined US $2.5 Million for Market Access Violations
- US Senate Subcommittee Calls for CFTC Joint Oversight With SEC Over Commodity ETFs and Other Measures in Response to Inquiry of Banks’ Involvement With Physical Commodities
- SEC Adopts New Rules to Beef-up Technology Backbone of Securities Markets
- CME Group Sanctions Member for Not Having Adequate Controls to Prevent Automated Trading System Erroneous Response to Bad Data
- UK FCA Sanctions Three Related Banks US $66 Million for Lack of Technology Backbone Resiliency
- Court Rejects US Bank’s “Unclean Hands” Argument in CFTC PFG-Related Enforcement Action
- NYS Financial Watchdog Imposes an Additional Fine on Bank of Tokyo-Mitsubishi UFJ for Misleading Regulators Regarding Prior Settlement
- CME Group Fines Trader for Spoofing-Type Offense
- Another CFTC Commissioner Recommends Amendments to Swaps Trade Execution Rules
- Industry Organizations Request Basel Committee Reconsider Proposed Treatment of Segregated Customer Margin
- Steak and Potatoes Please —But Hold the Insider Tips; Former Public Company CEO Charged With Passing Material Nonpublic Information to Favorite Restaurant Manager