In this issue:
- SEC Extends Interim Final Temporary Rule for Broker-Dealers Engaging in a Retail Forex Business
- FINRA Announces Targeted Examination Letter Regarding High-Frequency Trading
- CFTC Issues Interpretive Guidance Regarding Certain Cross-Border Transactions
- CFTC Seeks Public Comment on Wash Trade Advisory
- Florida Federal Court Orders $137 Million Forfeiture for Investment Fraud and Money Laundering Scheme
- Ninth Circuit Affirms Radical Bunny LLC Managers’ Securities Violations
- Excerpt from: Florida Federal Court Orders $137 Million Forfeiture for Investment Fraud and Money Laundering Scheme:
The US District Court for the Middle District of Florida recently ordered one participant in a sophisticated investment fraud and money laundering scheme to forfeit $137 million in assets including cash, real property, aircraft and vessels.
Please see full newsletter below for more information.
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Topics: Broker-Dealer, CFTC, Cross-Border Transactions, Final Rules, FINRA, Fraud, High Frequency Trading, Money Laundering, New Regulations, SEC, Wash Trades
Published In: Business Torts Updates, Finance & Banking Updates, International Trade Updates, Securities Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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