Rule Overview
Jurisdiction: United States
Regulator: CFTC
Topic: Recordkeeping
ECFR Title 17 Rule 1.31
Misuse of off-channel apps leads to $549m in penalties from SEC, CFTC
The SEC and CFTC hand out sizable, combined penalties for recordkeeping and supervision failures relating to off-channel communications.
HSBC and Scotia Capital charged for off-channel comms recordkeeping failures
SEC and CFTC charge HSBC and Scotia Capital with recordkeeping failures using off-channel comms.
This year's gathering focuses on investor resilience and scams.
The CFTC says it is stepping into the gap where it has jurisdiction to regulate the leveraged and margin-dependent trading of crypto assets.
The CFTC encouraged exchanges to engage with its market oversight division while in the early phases of this mention market review to mitigate manipulation risks.
Our in-brief roundup of notable stories from the last week.
New rule introduces a 30% presumption for awards under $5m.
Our in-brief roundup of notable stories from the last week.
Attorneys examine US regulator moves to finalize rules, plus expectations and efforts of the compliance community in preparing for them.
Our in-brief roundup of notable stories from the last week.
