Commentary

Joanna Fields
Traders Magazine Online News

Navigating Cybersecurity on a Stretch of "Regulatory Rapids"

In this shared commentary, Aplomb Strategies writes that when considering a firm’s governance structure, a holistic approach makes the most sense.

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Now that the SEC has approved the CHX's petition for a speed bump, will you be more likely to send them your order flow?




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Top SEC Settlements in 2015 (So Far)

Mary Jo White On The March



The SEC has been busy lately - and all year. Last week, the regulator announced a $20.3 million settlement to be paid by ITG for establishing a secret trading desk to trade against its clients in its own dark Pool. This is a big deal: ITG's CEO and chief attorney stepped down amidst the scandal and there are news reports that more dark pool settlements from Credit Suisse and Barclays are forthcoming.

So what other settlements has the SEC obtained from bad behaving firms? Traders' takes a look.


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