To read Bridging the Week, click here.
This week's issue addresses the following topics:
- Court Permits Customer and IB Claims to Proceed Against U.S. Bank Over Peregrine Collapse
- CFTC Commissioner Giancarlo Invokes Smoot-Hawley to Remind Global Regulators of the Dangers of Uncoordinated Swaps Regulation
- Barclays Entities Settle With UK FCA Over Client Money Rule Breaches and With US SEC for Investment Advisor Compliance Issues;
- CFTC Sues Trader for Fraud and Unauthorized Swap Trades
- Ontario Securities Commission Issues Guidance Regarding Unsolicited Trade and Hedger Exemption for Unregistered Foreign Dealers Facilitating Futures Transactions With Ontario-Based Customers
- The Other Shoe Drops: After Previously Fining FirstRand Bank for Unlawful Pre-Execution Discussions, CFTC Now Fines the Counterparty, Absa Bank
- Father and Son Sanctioned by CFTC for Position Limit Violations
- Important Reminders Resonate From Recent CME Group and ICE Futures U.S. Disciplinary Actions