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Bridging the Week

Newsletter | August 10, 2015

To read this week's Bridging the Week, click here.

  • New York Regulator Penalizes Promontory Financial for Alleged Lack of Independent Judgment in Handling Standard Chartered Bank Review
  • One CCO Sanctioned, Another Not, in SEC Enforcement Actions
  • Federal Judges in NY and Georgia Rule Against SEC for Enforcement Action Forum Choice Because of ALJ Selection Process
  • IB Fined by NFA for Late Independent Testing of AML Program and Training
  • SEC Finalizes Registration Procedures for Security-Based Swap Entities and Proposes Rule to Permit Statutorily Disqualified Associated Persons
  • FINRA Fines and Suspends Two CCOs for Supervisory and AML Violations
  • BNP Paribas Securities (Asia) Fined Almost US $2 Million by Hong Kong Regulator for Dark Pool-Related Failures
  • CFTC Commissioner Giancarlo Says Little Progress If At All in Sensibly Revising Swaps Trading Rules
  • Commodity Pool Operator Sued by CFTC for Making False Statements to NFA and Other Violations
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