The affirmation by a federal appeals court of the conviction of the first trader prosecuted for spoofing under the 2010 Dodd-Frank Act, and a sanctions discount for a non-US banking entity that cooperated with the Commodity Futures Trading Commission after detecting spoofing activity highlighted last week’s financial services industry developments in the US. In addition, staff of the CFTC granted relief from certain mandatory advance notice filing requirements that certain persons would otherwise have had to comply with beginning today in order to disaggregate futures and related options positions among affiliated entities for CFTC position limit purposes. As a result, the following matters are covered in this week’s edition of Bridging the Week:
Gary DeWaal is currently Special Counsel with Katten Muchin Rosenman LLP in its New York office focusing on financial services regulatory matters. He provides advisory services and assists with investigations and litigation.
August 13, 2017
August 07, 2017
August 06, 2017
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