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- Proposed Automated Trading Rule by CFTC Likely to Follow Already Existing Best Practices; SEC Also Contemplating New Measures
- OCC and FDIC Approve Final Margin Rule for Uncleared Swaps; Other Prudential Regulators Expected to Follow
- UK FCA's Acting CEO Says Current Intensity of Regulatory Activity Is Not Sustainable
- CFTC Enforcement Action Introduces New Theory of Spoofing
- International Bank Sanctioned by Multiple US Regulators for Allegedly Helping Clients Evade US Financial Sanctions
- FCM Penalized for Allegedly Exceeding Concentration Limits for Investment of Customer Funds in Money Market Products
- Two Affiliated Advisory Firms Sanctioned for Not Disclosing Change in Fund's Investment Strategy