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Bridging the Week

Newsletter | June 29, 2015

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

  • UK Regulators Implement Tougher Pay Rules for Banking Institutions' Senior Managers
  • Broker-Dealers Cited by FINRA for Not Monitoring Transfers From Client Accounts to Third Parties
  • ICE Futures Exchanges Update Block Trade Guidance
  • Because of Past Trade Allocation Issues, Registrant Can Operate Pools But Not Individual Managed Accounts Says NFA
  • CFTC Commissioner Bowen Recommends Considering EMIR Governance Clearinghouse Standards for US DCOs, DCMs and SEFs
  • Monetary Authority of Singapore Sanctions SGX for Fall 2014 Market Outages
  • IOSCO Seeks Comments on Fees and Expenses for Collective Investment Vehicles
  • SEC Commissioner Recommends Applying Reg SCI to Brokers to Enhance Cybersecurity
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