Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of December 19, 2023. All prior versions are superseded and should be discarded. Please note the following...more
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of March 25, 2021. All prior versions are superseded and should be discarded. Please note the following developments...more
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 29, 2019. All prior versions are superseded and should be discarded. Please note that since we last...more
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of September 1, 2019. All prior versions are superseded and should be discarded. Please note the following...more
During the prior two weeks, three financial authorities in the United Kingdom as well as the Hong Kong Securities and Futures Commission issued reports assessing distributed ledger technology and risks associated with the...more
11/5/2018
/ Accredited Investors ,
Bitcoin ,
Cryptoassets ,
Cryptocurrency ,
Derivatives ,
Enforcement ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Initial Coin Offering (ICOs) ,
Prudential Regulation Authority (PRA) ,
Retail Investors ,
UK
The chief executive officer of a major worldwide banking group agreed to pay the equivalent of US $870,000 as fines to two United Kingdom regulators, and had the equivalent of US $677,000 of prior pay clawed back by his...more
5/15/2018
/ Barclays ,
CFTC ,
Corporate Fines ,
Criminal Conspiracy ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Futures ,
Indictments ,
Initial Coin Offering (ICOs) ,
Insider Trading ,
Price-Fixing ,
UK ,
Whistleblower Protection Policies ,
Whistleblowers
Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two...more
Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two...more
SEC Not Feeling Groovy About Cryptocurrencies – Tells Registered Investment Funds: Slow Down, You Move Too Fast: The Securities and Exchange Commission’s Division of Investment Management issued a letter to two industry...more
Former Newbie Bank Trader Pleads Guilty to Criminal Charges and Settles CFTC Civil Charges for No Fine for Spoofing, Attempted Manipulation and Manipulation of Gold and Silver Futures:
David Liew, a former junior trader...more
SEC Chairman Nominee Advances: Jay Clayton took another step to becoming chairman of the Securities and Exchange Commission when the US Senate Committee on Banking, Housing and Urban Affairs approved his nomination for the...more
4/11/2017
/ Acquittals ,
Administrative Appointments ,
Anti-Money Laundering ,
Barclays ,
Business Conduct Standards ,
Derivatives Clearing Organizations ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Libor ,
MiFID II ,
Money Transfer ,
Nasdaq ,
Securities and Exchange Commission (SEC) ,
TRACE
Broker-Dealer Settles SEC and NYS Charges Regarding Disclosures of Dark Pool Order Routing Arrangements: Deutsche Bank Securities Inc. settled charges brought by both the Securities and Exchange Commission and the New York...more
Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague -
The US federal court handling...more
11/22/2016
/ Asset Management ,
Audits ,
Block Trades ,
Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
China ,
Civil Monetary Penalty ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
FRB ,
Futures ,
Government Officials ,
Hiring & Firing ,
Illegal Trading ,
Mary Jo White ,
Resignation ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Stress Tests ,
UK
This Foreign Listed Stock Index Futures and Options Approvals chart is current as of November 2016....more
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 2016. All prior versions are superseded and should be discarded. Please note the following developments...more
Ex-Airline Employee Sued by CFTC for Insider Trading of Futures Based on Misappropriated Information: The Commodity Futures Trading Commission brought and settled charges against Jon Ruggles, a former trader for Delta...more
FINRA Hands Out Report Cards on Potential Spoofing and Layering: The Financial Industry Regulatory Authority said that it issued its first cross-market equities report cards aimed at helping member firms identify potential...more
5/3/2016
/ Audit Policies ,
CFTC ,
Cybersecurity ,
Enforcement Authority ,
EU ,
Futures ,
GAO ,
High Frequency Trading ,
Layering ,
MiFID II ,
Spoofing
Federal Court Allows Former Hedge Fund Operator’s Lawsuit Alleging Civil Rights Violations to Proceed Against US Attorney and Other Government Officials: A federal court in New York City refused to dismiss a lawsuit against...more
3/15/2016
/ CFTC ,
Disruptive Trading Practices ,
FBI ,
Financial Industry Regulatory Authority (FINRA) ,
Futures ,
Futures Commission Merchants (FCMs) ,
Hedge Funds ,
Indictments ,
No-Action Relief ,
Risk Management ,
Spoofing
Two Broker-Dealers to Pay US $154 Million to the State of NY and the SEC to Resolve Allegations of Wrongdoing by Their Dark Pools: Barclays Capital Inc. and Credit Suisse Securities settled allegations by the Securities and...more
2/9/2016
/ Barclays ,
Broker-Dealer ,
CFTC ,
Credit Suisse ,
Dark Pool ,
Enforcement Actions ,
Futures ,
Kraft ,
Nasdaq ,
Position Limits ,
Price Manipulation ,
Rare Earth Metals
Three Individuals Fined and Banned From Trading on CME Group Exchanges for Market Conduct Violations -
CME Group business conduct committees permanently banned three traders from trading on CME Group exchanges for market...more
10/20/2015
/ Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Chief Compliance Officers ,
Enforcement ,
Enforcement Actions ,
Failure To Disclose ,
Futures ,
NFA ,
Restitution ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
UBS ,
Wash Trades
China Regulator Issues Final Interim Measures Governing Overseas Access to Its Futures Markets -
The China Securities Regulatory Commission issued final interim measures to permit trading by overseas investors on...more
UK Regulators Implement Tougher Pay Rules for Banking Institutions’ Senior Managers: The United Kingdom Prudential Regulation Authority and Financial Conduct Authority have adopted new rules regarding the remuneration of...more
6/30/2015
/ Banking Sector ,
Banks ,
Broker-Dealer ,
CFTC ,
Compliance ,
Cybersecurity ,
EMIR ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Fraudulent Wire Transfers ,
Futures ,
Immigration and Customs Enforcement (ICE) ,
IOSCO ,
Monetary Authority of Singapore ,
National Futures Association ,
Scottrade ,
Singapore ,
Swaps ,
UK
Investment Adviser Chief Compliance Officer Blamed in SEC Lawsuit for President’s Theft of Client Funds; SEC Commissioner Criticizes Enforcement Actions Against CCOs Generally -
The Securities and Exchange Commission...more
6/23/2015
/ BlackRock ,
CEOs ,
CFTC ,
Chief Compliance Officers ,
Commodities ,
Corporate Officers ,
Enforcement Actions ,
European Securities and Markets Authority (ESMA) ,
Fraud ,
Futures ,
Investment Adviser ,
IOSCO ,
Material Misstatements ,
Misappropriation ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Underwriting
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
ICE Futures Fined US $3 Million by CFTC for Reporting Errors and Untimely Response to Inquiries -
The Commodity Futures Trading Commission fined ICE Futures U.S., Inc. US $3 million last week for filing allegedly...more
3/24/2015
/ Algorithmic Trading ,
Broker-Dealer ,
Bureau of Industry and Security (BIS) ,
Capital Markets ,
CFTC ,
Enforcement Actions ,
Futures ,
Hong Kong ,
Investment Funds ,
IOSCO ,
Shanghai Futures Exchange