To read this week’s Bridging the Week click here:
- US Judge Says Sentinel 2007 Transfers to BNY Mellon Cannot Be Reversed as Made in Good Faith
- Appeals Court Sets Aside Insider Trading Convictions Saying Traders Distance From Corporate Insiders Too Far
- European Banks Receive a Stay From Taking Capital Hits for Exposure to US Clearinghouses
- SEC Chair Says Commission Will Address Portfolio Composition and Operational Risks by Investment Funds
- CFTC Chairman Also Sets Forth Priorities to US Senate Committee--Says Individuals Will Be Held Accountable in Enforcement Actions
- SEC Okay to Prosecute Cases Before Administrative Tribunals Rather Than Federal Courts Says US Judge
- ICE Futures U.S. Proposes to Reduce Waiting Time for Execution of Crossing Orders for Certain Contracts
- Operator of Non-Registered Securities Trading Venues that Permitted Virtual Currency Payments Fined by SEC
- Firm Fined by ICE Futures U.S. for Not Having Adequate ATS Safeguards to Avoid Self-Matching
- Retail FX Dealer Sanctioned US $600,000 by CFTC for Three Days of Net Capital Violations, Failure to Supervise and Reporting Matter
- FXDirectDealer Fined US $500,000 by NFA for AML Violations and Failure to Supervise
- Basel Committee Revises Securitization Framework
- Eight Audit Firms Sanctioned by SEC for Providing Both Audit and Non-Audit Services to Audit Clients
- FINRA Not Playing: Fines 10 Broker-Dealers US $43.5 Million for Research Analyst Violations in Connection With Toys “R” Us Initial Public Offering
New York
