U.S. commodities trading regulator the CFTC has ordered a payment of penalties totaling $665,000 from Credit Suisse International (CSI) for violating a speculative position limit for wheat futures and from Credit Suisse Securities (CSS-USA) for allegedly submitting misleading information to the regulator about the incident. The CFTC charged that the London-based CSI “exceeded the CFTC… Read More >>
SEC Gets New Head of Trading and Markets as Compliance Science Appoints Chief of Product Strategy
SEC Names Head of Trading and Markets Division The SEC has named Stephen Luparello, a former FINRA vice chairman, as director of its division of trading and markets, replacing John Ramsay, the acting director who is leaving this month after three and a half years of service, SEC officials say. Ramsay, who was appointed deputy… Read More >>
