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Bridging the Week

Newsletter | August 17, 2015

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

  • Hackers and Traders Charged by SEC and Department of Justice in International Securities Fraud Scheme
  • UK High Court Penalizes Traders GBP 7.5 Million for Layering
  • SEC Sanctions ITG and Affiliate for Dark Pool Abuses
  • ALJ Upholds Natural Gas Manipulation Charges Against BP by FERC
  • ESMA Proposes to Rethink Third-Country CCP Recognition Process and Other Aspects of EMIR Framework
  • Disgorgement and Fines Ordered in Two CME Group Disciplinary Actions Alleging Position Limit Violations
  • Guggenheim Partners Agrees to Pay US $20 Million Penalty for Alleged Conflicts Non-Disclosure to Clients
  • Barbara Duka Obtains Preliminary Injunction Against SEC Prosecuting Her in an Administrative Tribunal
  • Yet Another Firm Fined for Reg SHO Violations by FINRA
  • Encore! Encore! CFTC Again Extends Relief to Certain Non-US Swap Dealers Relying on US Operations
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