To read Bridging the Week, click here.
This week's issue addresses the following topics:
- Senior Fed Officials Encourage Financial Industry Firms to Improve Compliance Culture
- CFTC Proposes More Specific Standards to Bar Accountants From Practicing Before It
- Federal Reserve Inspector General Finds Deficiencies in Regulatory Oversight of London Whale Risks
- Six Federal Agencies Adopt Final Rules Regarding Skin in the Game for Sponsors of Certain Asset-Backed Securities
- European Commission Settles With Multiple Banks for Collusive Activity
- CFTC Staff Says It’s Ok for FCMs to Credit Margin Payments of Certain Clients When Sent, Rather Than When Received; Also Provides Guidance on Certain Residual Interest Matters
- Buy- and Sell-Side Industry Organizations Propose Form of Template for Broker-Dealer Minimum Disclosure of Order Routing and Execution Quality Information
- CEO of Member Firm Charged by FINRA With Failing to Update Personal Registration Information to Disclose Tax Liens
- Merrill Lynch Sanctioned by FINRA for Not Monitoring Non-US Dollar-Denominated Customer Securities Transactions for Wash Sales
- SEC Issues Investor Bulletin Regarding Enforcement Investigations
- SIFMA Proposes Cybersecurity Regulatory Guidance
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