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Bridging the Week - May 2015 #3

CFTC Chairman Discloses Second Phase of Regulatory Review Before Senate Committee; Commissioner Giancarlo Questions Position Limits Proposal Before Energy Risk Summit - Timothy Massad, Chairman of the Commodity Futures...more

Bridging the Week - March 2015 #5

SEC Proposes FINRA Oversee Certain High-Frequency Trading Firms; FINRA and FIA Issue Best Practice Guidance - The Securities and Exchange Commission proposed changes to an existing rule that, if adopted, would require...more

Consultation Draft Rules Issued by the China Securities Regulatory Commission Regarding Foreign Investment in Futures Contracts

The China Securities Regulatory Commission (CSRC) has issued draft rules for consultation purposes relating to the proposed investment by foreign investors and dealing by foreign brokerages in futures contracts in the...more

China Regulator Proposes to Permit Designated Domestic Futures Contracts to be Traded by Foreigners

The China Securities Regulatory Commission (CSRC) is soliciting public comment on proposed rules (Interim Measures) that would open Chinese futures markets to direct trading by non-Chinese persons apparently for both...more

SEC Names Company, Eight Directors and Officers In Financial Fraud Actions

Since the market crisis enforcement officials have heard repeated calls to prosecute not just companies but high ranking corporate officials. While the Commission brought a series of market crisis actions against firms and...more

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