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Bridging the Week

Newsletter | August 24, 2015

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

  • CME Group Files Disciplinary Actions for Trading Ahead of Block Trades and Failure to Supervise an Employee Engaging in Disruptive Trading Activities
  • CFTC Settles Enforcement Action Against FCStone Markets for Unauthorized Swaps Transactions of Former Trader
  • Promontory Financial Agrees to Pay US $15 Million to Resolve Allegations Regarding Conflicted Audit
  • ASX Clear Approved as Exempt Clearinghouse for Swaps by CFTC
  • OIG Criticizes CFTC's DMO for Inadequate Rule Enforcement Reviews, Blames Insufficient Staff
  • Student Internships Result in Bank’s Settlement With SEC Over Alleged FCPA Violations
  • Broker-Dealer Fined US $15 Million for Compliance and Surveillance Failures Related to Handling of Nonpublic Information
  • CFTC Proposes Changes to Swap Data Recordkeeping and Reporting Requirements
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