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Bridging the Weeks by Gary DeWaal: June 25 – July 13 and July 16, 2018 (Attempted Manipulation; Curious About Digital Assets; Whistleblowing; SARs; Obstruction)
 
A commodity merchandising firm was fined US $6.55 million by the Commodity Futures Trading Commission and the Chicago Board of Trade combined for attempting to manipulate the prices of wheat futures contracts. However, its transaction activity may have constituted ordinary commercial conduct. But that was not sufficient to avoid the regulators’ wrath. Separately, the Financial Industry Regulatory Authority asked member firms voluntarily to disclose details regarding their, their associated persons’, and their affiliates’ activities related to digital assets. But the nature of activities FINRA is curious about is very broad, and includes such persons’ futures activities. As a result, the following matters are covered in this week’s edition of Bridging the Week:
  • Commodity Merchandising Firm Agrees to Pay US $6.55 Million in Fines to CFTC and CBOT for Attempted Manipulation of Wheat Futures (includes Legal Weeds); 
  • FINRA Asks Members to Volunteer Information Regarding Crypto-Asset Activity (includes Compliance Weeds);
  • Whistleblower Receives US $30 Million Payment From CFTC – Largest Award to Date; SEC Proposed Updates to Its Whistleblower Rules (includes Culture and Ethics);
  • SEC Resolves a Sundry of Enforcement Actions Alleging Failure to File SARs, Failure to Supervise Brokers Who Defrauded Customers, and Inappropriate Commission Splitting (includes Compliance Weeds);
  • Commodity Pool Operator Charged With Fraud in CFTC and Criminal Actions; Also Charged Criminally With Attempting to Obstruct CFTC Investigation (includes Legal Weeds); and more.
Click here to access the video and article versions of this week’s Bridging the Weeks

Did you miss the prior edition of Bridging the Week? Click
here to access it, and here to access the most current issue of the Corporate and Financial Weekly Digest by Katten Muchin Rosenman LLP.

For further information, contact:
 
Gary DeWaal
Katten Muchin Rosenman LLP
575 Madison Avenue
New York, New York
(212) 940-6558

gary.dewaal@kattenlaw.com

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