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Legal Influencer

Q3 | 2018

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SEC Seeks More Views on Proposal for Security-Based Swap Dealers’ Capital, Margin and Segregation Requirements

USA - October 15 2018 The Securities and Exchange Commission reopened its comment period for amendments and new rules first proposed in October 2012 that address capital...

Interdealer Broker, CEO and Senior Manager Named in CFTC Enforcement Action for Communicating Fake Bids, Offers and Executions in FX Options Market; Board Chairman Settles Related Supervisory Charges

USA - October 15 2018 TFS-ICAP, LLC and TFS-ICAP Ltd. were charged by the Commodity Futures Trading Commission with attempting to deceive and deceiving their clients...

Options Trader Who Settled Related Criminal Charges Resolves CFTC Enforcement Action for Trading Futures Options to Disguise Trading Losses

USA - October 15 2018 Thomas Lindstrom, the former options trader who engaged in unauthorized trading activities that led to a US $14 million loss for his employer, settled...

CBOE Futures Exchange Amends and Reissues Guidance on ECRPs

USA - October 15 2018 Cboe Futures Exchange issued revised guidance on authorized exchange of contract for related position transactions - more commonly referred to as...

CME Group Exchanges Sanction Three Traders for Wash Sales, One for Spoofing

USA - October 15 2018 TRC World Group and two of its employees - Travis Haymore and John Morgan - resolved charges brought by a Chicago Board of Trade business conduct...