New Records Retention Regime for 21st Century Proposed by CFTC: The Commodity Futures Trading Commission proposed a revised records retention rule that aims to eliminate many existing antiquated requirements and to be...more
FINRA Will Grade Members on Culture, Supervision and Liquidity Management; BDs Not Managing Spoofing Likely to Get Bad Scores:
The Financial Industry Regulatory Authority kicked off the new year by issuing its annual...more
1/12/2016
/ Bank of New York (BNY) Mellon ,
Banking Sector ,
Block Trades ,
Bonuses ,
BSA/AML ,
Economic Sanctions ,
Financial Services Industry ,
Hedge Funds ,
Indictments ,
National Futures Association ,
Spoofing
CME Group Files Disciplinary Actions for Trading Ahead of Block Trades and Failure to Supervise an Employee Engaging in Disruptive Trading Activities -
In two cases of first impression, CME Group exchanges brought and...more
8/25/2015
/ Audits ,
Bank of New York (BNY) Mellon ,
Block Trades ,
Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
CME NYMEX ,
Disruptive Trading Practices ,
DMO ,
Employer Liability Issues ,
Enforcement Actions ,
EU ,
Foreign Corrupt Practices Act (FCPA) ,
Internships ,
Investment Adviser ,
Material Nonpublic Information ,
NYDFS ,
OIG ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Clearing ,
Swaps
CFTC Commissioner Bowen Argues for User Fees During House Subcommittee Hearing; Commissioner Wetjen Calls for Bankruptcy Law Amendments to Permit Individual Segregation of Customer Funds -
Commodity Futures Trading...more
4/23/2015
/ Bank of New York (BNY) Mellon ,
BSA/AML ,
Capital Requirements ,
CFTC ,
Congressional Investigations & Hearings ,
Custody Rule ,
Deutsche Bank ,
Enforcement Actions ,
Ernst & Young ,
Fiduciary Duty ,
Financial Statements ,
Fraud ,
Regulatory Agenda ,
Spoofing