US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes -
Lek Securities Corporation (“LEK”), a US-registered broker-dealer and Samuel Lek, its 70 percent owner and chief...more
SEC Overturns CBOE Determination That Individual Traders of Two Omnibus Accounts Were Customers Requiring Application of Customer Identification Rule -
The Securities and Exchange Commission set aside a determination by...more
6/20/2016
/ Block Trades ,
CBOE ,
CIP ,
Compliance ,
Confidential Information ,
Criminal Prosecution ,
Enforcement Actions ,
Hedge Funds ,
Insider Trading ,
Public Comment ,
Spoofing
ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD -
The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more
8/11/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
BATS Exchange ,
Broker-Dealer ,
CBOE ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Dark Pool ,
Disclosure Requirements ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Virtual Currency ,
Wash Trades
ESMA Says “No for Now” to Granting Passport Rights to US Fund Managers Under AIFMD:
The European Securities and Markets Authority told the European Commission last week that it was premature to grant passport rights to...more
8/4/2015
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Australia ,
Broker-Dealer ,
Canada ,
CBOE ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
CME NYMEX ,
Dark Pool ,
Disruptive Trading Practices ,
Enforcement Actions ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Managers ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Internal Controls ,
Japan ,
Securities and Exchange Commission (SEC) ,
Virtual Currency ,
Wash Trades
Et tu, CFE? CBOE Futures Proposes Amended Disruptive Practices Rules and New Related Policies and Procedures:
CBOE Futures Exchange became the latest designated contract market to propose specific rules to ban disruptive...more
7/21/2015
/ Australia ,
CBOE ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Chief Compliance Officers ,
Cross-Border Transactions ,
Disruptive Trading Practices ,
Dodd-Frank ,
Enforcement Actions ,
Flash Crash ,
Insider Trading ,
Nasdaq ,
Securities and Exchange Commission (SEC) ,
Swaps ,
U.S. Treasury