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- Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success
- Deferrals and Claw-Backs Potentially Required in Newly Proposed Compensation Arrangements for Senior Officers of Certain Financial Institutions
- SEC Claims Broker-Dealer's Attempt to Escape FINRA Disciplinary Action is Untimely
- FSOC Expresses Concerns That Pooled Investment Vehicles' Liquidity and Redemption Risks May Pose Financial Stability Concerns
- Related Broker-Dealers Agree to Pay US $1 Million Penalty to FINRA for Allegedly Not Sending Certain Required Information to Private Bank Clients