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