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  • CFTC Orders Three Credit Suisse Entities To Pay $1.5 Million For Swap Data Reporting Failure

    Date 25/06/2021

    The Commodity Futures Trading Commission today filed and settled charges against Credit Suisse International, Credit Suisse Securities Europe Limited, and Credit Suisse Capital LLC (Credit Suisse entities or respondents), provisionally registered swap dealers, for failing to comply with swap data reporting obligations as a swap dealer.

  • US Federal Agencies Release List Of Distressed Or Underserved Nonmetropolitan Middle-Income Geographies

    Date 25/06/2021

    The Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation today announced the availability of the 2021 list of distressed or underserved nonmetropolitan middle-income geographies. These are geographic areas where revitalization or stabilization activities are eligible to receive Community Reinvestment Act (CRA) consideration under the community development definition.

  • FINRA Orders Merrill Lynch, Pierce, Fenner & Smith, Inc. To Pay $8.4 Million In Restitution To Customers For Supervisory Failures Involving Unit Investment Trusts

    Date 25/06/2021

    FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith, Inc. to pay more than $8.4 million in restitution to more than 3,000 customers who incurred potentially excessive sales charges in connection with early rollovers of Unit Investment Trusts (UITs). FINRA also fined the firm $3.25 million for failing to reasonably supervise early UIT rollovers.

  • SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To Brazilian Bribery Scheme

    Date 25/06/2021

    The Securities and Exchange Commission today announced charges against Amec Foster Wheeler Limited (Foster Wheeler) for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme that took place in Brazil. As part of coordinated resolutions with the SEC, the U.S. Department of Justice, the Brazil Controladoria-General da Uniᾶo (CGU)/Advocacia-Geral da Uniᾶo (AGU) and the Ministério Publico Federal (MPF), and the United Kingdom Serious Fraud Office (SFO), the company has agreed to pay more than $43 million related to this scheme, including more than $10.1 million to settle the SEC's charges.


  • Nadex Temporarily Amends Binary Contracts Strike Width

    Date 25/06/2021

    Pursuant to Section 5c(c)(1) of the Commodity Exchange Act, as amended (“Act”), and Section 40.6(d) of the regulations promulgated by the Commodity Futures Trading Commission (the “Commission”) under the Act (the “Regulations”), North American Derivatives Exchange, Inc. (“Nadex”, the “Exchange”) hereby provides notice that due to increased volatility in the underlying markets upon which the Nadex contracts are based, Nadex made changes to the strike widths of various contracts during the week of June 21, 2021 as indicated in the Weekly Notice. 

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