UBS to pay $500,000 penalty for failing to retain certain audio recordings
About 2.76% of total US recorded volume during 8 July 2019 to 23 December 2019 was deleted prematurely due to an analyst’s error.
About 2.76% of total US recorded volume during 8 July 2019 to 23 December 2019 was deleted prematurely due to an analyst’s error.
According to CFTC, ICE Clear Europe failed to obtain executed acknowledgement letters from the depository before, during or after the opening of six customer segregated accounts.
According to the CFTC, Refinitiv’s swap execution facility failed to report certain categories of swap data from 2016 to August last year.
The order filed by CFTC found that Mizuho Capital’s compliance and supervision failures occurred from around 2013 to at least April this year.
According to the CFTC, Citi failed to correctly report legal entity identifier (LEI) information to a swap data repository (SDR).
Registered swap dealers at Credit Suisse were found to have inaccurately reported swap transactions by the US derivatives regulator.
Chris Giancarlo joins Baton Systems as senior advisor after serving for five years as chairman and commissioner at the CFTC.
Heath Tarbert joins the market maker shortly after leaving the Commodities Futures Trading Commission (CFTC) at the end of January.
Heath Tarbert confirmed in December that he would be resigning as chairman and chief executive when president Joe Biden took office in early 2021.
Gary Gensler becomes chairman of the Securities and Exchange Commission (SEC) bringing with him over 25 years of industry experience.