To read this week's Bridging the Week, click here.
- Another Publicly Traded Firm Sanctioned by SEC for Allegedly Undercutting Whistleblower Protections Through Severance Agreements
- SEC Upholds FINRA Registration Suspension of Broker-Dealer President for Failure to Supervise
- Swap Dealer Sued in Federal Court by CFTC for Recidivist Reporting Violations; Acknowledges Bank's Cooperation
- International Regulators Find Fault With Derivatives CCPs' Recovery Planning and Credit and Liquidity Risk Management
- CFTC Staff Issue Another Report but Commission Takes No Action Regarding Swap Dealer De Minimis Threshold
- …And Don't Forget ICE Clear Europe's Individual Segregation Through Sponsored Principal Account Offering