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Katten Muchin Rosenman LLP


Government Publishes Report on UK Trade Options After Brexit

European Union, United Kingdom - March 10 2017 On March 7, the UK House of Commons International Trade Committee (Committee) published a report titled "UK trade options beyond 2019"

US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes

USA - March 12 2017 Lek Securities Corporation ("LEK"), a US-registered broker-dealer and Samuel Lek, its 70 percent owner and chief executive officer, were sued by the

DOL Proposes to Delay Fiduciary Advice Rule, Requests Comments on Delay and on Costs, Benefits of the Rule

USA - March 9 2017 On March 2, the US Department of Labor (DOL) published a proposed extension (the "Proposal") of the effective date of what is commonly referred to as

Registered Investment Advisers Take Note: New SEC Custody Rule Guidance

USA - March 10 2017 Registered investment advisers should take note of recent pronouncements by the staff of the SEC’s Division of Investment Management (the Division

Finally! FDA Issues a Draft Guidance on Interchangeable Biosimilars

USA - March 8 2017 In mid-January, the US Food and Drug Administration (FDA) issued a much-anticipated draft guidance on interchangeable biosimilars titled

USDA Warns Canada-EU Trade Agreement Could Impact US Alcohol Beverage Exports

Canada, European Union, USA - March 22 2017 US exporters of alcohol beverages to Canada will soon face stiffer competition from their European rivals. The Canada-European Union Comprehensive

CME Group Settles Disciplinary Action Alleging That Automatic Liquidation of Under-Margined Customers’ Positions By Non-US Futures Broker Constituted Disruptive Trading

USA - March 20 2017 CME Group announced today that Saxo Bank AS, a member firm, agreed to pay an aggregate fine of US $190,000 to the Chicago Board of Trade and the

Brokerage Firm Fined HK $2 Million (US $257,000) by HK SFC for Under-Segregating Client Funds

Hong Kong - March 19 2017 The Hong Kong Securities and Futures Commission fined DBS Vickers (Hong Kong) Limited HK $2 million (US $257,000) for not segregating customer funds

Comment Period of Proposed Capital Requirements for Swap Dealers Extended by CFTC

USA - March 19 2017 The Commodity Futures Trading Commission delayed the expiration of its comment period for its proposed capital rules for swap dealers, major swap

CFTC Chairman Nominee Warns of Tough Love to Come: KISS But Also Aggressive and Assertive Enforcement:

USA - March 19 2017 In a speech last week before an assembly of industry executives at FIA's annual Boca Raton conference, J. Christopher Giancarlo, nominee to be