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  • Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach
  • Dubai-Based Trader Barred by DFSA for Hiding Trading Losses of US $11 Million by Mismarking Positions
  • Incoming FCA Head Identifies “Hubris Risk” As Among the Risks Banks Can Mitigate Only Through a Strong Culture
  • Alleged Spoofer in CFTC Enforcement Action Claims Relevant Statute and Regulation Unconstitutionally Vague
  • Broker-Dealer Sanctioned by FINRA for Alleged Failure to Supervise Use of Flash Research Emails That Might Convey Nonpublic Information
  • No Change to Deadline for FCMs to Top-Up Customer Segregated Accounts Recommended by CFTC Staff
  • CFTC Proposes to Confirm Electricity Transmission Organizations' Exemption From Most Provisions of Commodity Exchange Act But Will Permit Private Lawsuits