To read the Digest online, click here.
This week's issue addresses the following topics:
- ISS Publishes Results of Annual Global Voting Policy Survey
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FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
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NFA Issues Notice Regarding CPO and CTA Reports and Filing Requirements
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CFTC and NFA Require SD and MSP Risk Exposure Reports to Be Submitted Through WinJammer
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SEC Settles Insider Trading Case, Finding Roommate Relationship Created Duty of Trust and Confidence
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CFTC Settles Fraudulent Trading Violations with Forex Trader
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ESMA Consults on Draft Guidelines Clarifying the Definition of “Derivatives” Under MiFID