A bank settled DOJ and SEC charges for Foreign Corrupt Practices Act violations in connection with its use of third-party intermediaries, business development consultants and finders.
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The FIA Law & Compliance Audit Trail Working Group urged the CFTC to amend certain audit trail requirements.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for block trade violations.
The Business Conduct Committees of the Commodity Exchange and the New York Mercantile Exchange sanctioned a firm and several traders for spoofing and for violations of exchange block trading rules.
The New York Mercantile Exchange charged two traders for block trade submission violations and prearranged transactions, respectively.