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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