The Federal Reserve Board proposal to extend the single-counterparty credit limit compliance dates for foreign banking organizations was published in the Federal Register. Comments on the proposal must be submitted by December 20, 2019.
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The DOJ charged a trader and his security company with committing securities fraud, wire fraud and money laundering.
The U.S. House Committee on Financial Services considered testimony on several bills that would impose new requirements on investment advisors and private equity funds.
NYMEX denied several traders and a trading firm direct or indirect access to any Chicago Mercantile Exchange trading floor for failure to cooperate in an investigation of suspected trading anomalies.
FinCEN Director Kenneth A. Blanco reminded market participants of their obligations to comply with AML regulations related to convertible virtual currencies.