To read Bridging the Week click here:

  • CFTC Issues CME Group Report Card: Scores Generally Good But NYMEX and COMEX Directed to Continue to Enhance Spoofing Surveillance
  • IOSCO Consults on Cross-Border Regulation
  • Citigroup Unit Sanctioned US $15 Million by FINRA for Equity Research Dissemination Practices
  • HSBC Swiss Private Banking Unit Fined US $12.5 Million by SEC for Providing Services to US Clients While Being Unregistered
  • Deutsche Bank Sanctioned Almost $200,000 by ICE Futures U.S. for One-Time Speculative Limit Violation; CME Group Fines Three Firms for Documentation Issues Related to EFRPs
  • SEC Sues Former Principals of Sanctioned Broker-Dealer for Causing Firm Not to Pay Agreed-Upon Fine
  • Canadian Securities Regulators Propose Adoption of International Standards for Clearing Agencies
  • ISDA Issues Principles for CCP Recovery
  • Follet’s Edge of Eternity Provides Bittersweet Nostalgic Trip Down 60’s and 70’s Memory Lane for Baby Boomers