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John Lothian Newsletter: Exchange-Traded Funds Targeted in EU Shadow-Bank...

ETFs may face tougher regulation as the EU goes after “shadow banks”. The CFTC reveals the creation of two regulatory squads, one to monitor the growing swaps market, and one to look into manipulative...

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John Lothian Newsletter: NYSE Plan Would Revamp Trading; Dark Pools in...

First Read SEFCON Snapshot 2014, Part II: Cross-Border Issues JohnLothianNews.com The WMBA Americas hosted SEFCON V on November 12, 2014, and John Lothian News was there. We interviewed 14 SEF...

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John Lothian Newsletter: Manipulation or Brilliant Trade? The Curious Case of...

First Read “You can always tell the pioneers by the arrows in their back” Carl Gilmore, President, Integritas Financial Consulting That venerable quote, originally anonymous, was mentioned by our own...

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One Step Ahead: Can Silicon Valley Help, Compliance?

If you are chief compliance officer at a firm – brokerage or fund – what if you could tell if the customer or one of your traders was about to do something bad, wrong or illegal? The operative words...

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Karen Wuertz, National Futures Association – Opportunity Behind Many Doors

“We’re looking for the bad apples, trying to find them as quickly as we can, and putting them out of business.” The futures markets are about two things — price discovery and risk transfer. But all...

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Context for Compliance: The Big (Bad) Behavior Picture

Analyzing all the trading data out there is difficult, especially for regulatory purposes. Compliance officers have to take the big picture into account when examining data for bad behavior in the...

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Manipulation in the VIX?; Options Suggest Traders Overconfident About...

Observations & Insight MIAX Options: Consolidated Audit Trail (“CAT”) Fee Dispute Resolution Rule Mondovisione MIAX Options filed with the Securities and Exchange Commission a rule filing to adopt...

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Who trades options the most? Millennial investors; EU’s Market Rules Revamp...

Observations & Insight Hurdling Options Obstacles: OptionsPlay Finds Advisors Need as Much Help as Retail Investors Spencer Doar – JLN When trading options, the options chain is both an...

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Newest Criminal Spoofing Case Features Coordinated Spoofing and Front Running

The following is a guest post by Renato Mariotti, a former federal prosecutor and partner at Thompson Coburn LLP.   On last Thursday, June 1st, the Justice Department entered into a plea agreement with...

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New Deutsche Boerse chief; Bank bond-rigging case; Americans don’t know why...

First Read WILD Women Make Sound Investment Decisions; Women will have $22 trillion of investing wealth by 2020 By Sarah Rudolph – JLN Managing Editor Now that women actually have their own money, they...

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Barclays CEO Hit With $850k Fine; Former JPMorgan trader charged FX fixing

First Read Chicago Venture Capital Firms Are Funding Fintech Sarah Rudolph, JLN Chicago may not be doing as well as some other cities in certain areas, but it is leading the charge in technological...

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TT’s Biondo Says AI Can Tackle Spoofing And More

It’s been eight months since Trading Technologies purchased AI-driven regulatory software firm Neurensic. Since then the firm has integrated the software into the TT platform and rebranded the service...

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JPM’s $65m ISDAFIX fine; EU HFT rules; Blockchain for margin and collateral?

First Read Hits & Takes JLN Staff The MontrÈal Exchange announced new futures on exchange-traded funds (ETF) and trust units are now available.~JJL The European Banking Authority released its 2017...

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Cboe’s year of change; Committee for Options Markets?; VIX lawsuit developments

Observations & Insight FIA IDX 2018 – Brexit’s Influence on Global Markets JohnLothianNews.com MiFID II was more than 20,000 pages with 21 million paragraphs of regulation. Considering its scope,...

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Cross-Exchange Manipulation; Credit Suisse XIV Lawsuit Update

Lead Stories CFTC Charges Futures Trader with Cross-Exchange Manipulation CFTC The Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against...

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U.S. Market-Manipulation Cases Reach Record

First Read Hits & Takes JLN Staff Happy Halloween from the JLN Staff.~JJL ICE’s third quarter earnings showed net revenues of $1.2 billion, with data and listings generating $642 million of it.~JK...

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Spoofing: The Need for Regulatory Clarity

“You don’t want to get caught doing something that you thought was legal, but somehow it has wandered into the grey zone, somebody’s taken a dislike to you, and then they throw the book at you three...

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Poker prowess, game theory at Susquehanna; Ag options; Cboe VIX lawsuit update

Observations & Insight Tuesday’s Monday Night Note — or, Loving Aberrations and the Em Dash Spencer Doar – JLN Options markets are dependent on — and thus justly fascinated by — probabilities —...

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Wilson goes all in against the CFTC and the industry wins

There are traders who put their careers on the line every day in the markets. And then there’s Don Wilson, who put his career and firm on the line in court with the Commodity Futures Trading...

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