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Katten Muchin Rosenman LLP


ESMA Chair Says No Delay in Forthcoming MiFID II January 2018 Roll-Out

European Union, United Kingdom, USA - June 11 2017 The roll-out of MiFID II will not be postponed again, said Steven Maijoor, Chair of the European Securities and Markets Authority, in a keynote

Diamonds May Be Forever, but US Supreme Court Rules SEC Ability to Seek Disgorgement Limited to Five Years

USA - June 11 2017 The United States Supreme Court ruled last week that the Securities and Exchange Commission may only commence enforcement actions seeking

SEC to Broker-Dealer in Enforcement Action: Include Basis for Suspicions in Suspicious Activity Reports

USA - June 11 2017 The Securities and Exchange Commission filed an enforcement action against Alpine Securities Corporation, a registered broker-dealer, in a federal

CME Clearing Member Settles Charges for Allegedly Not Retaining Required Audit Trail of Direct Access Client; Two CBOT Members Settle Charges Related to Purported Position Limit Violations

USA - June 11 2017 INTL FCStone Financial, Inc., a clearing member of the Chicago Mercantile Exchange, agreed to pay a fine of US $40,000 to resolve charges that

OCC Issues FAQs on Managing Third-Party Relationships

USA - June 9 2017 On June 7, the Office of the Comptroller of the Currency (OCC) issued frequently asked questions (FAQs) to supplement OCC Bulletin 2013-29

EC Proposes Two-Tier System for Classifying Third-Country CCPs; Certain Systemically Important CCPs May Be Required to Relocate to the EU

European Union, United Kingdom, USA - June 18 2017 The European Commission proposed measures that would substantially amend its process for the approval of clearinghouses (CCPs) operating outside the

NYMEX Charges Rule Violation for Entering Incomplete TAS Orders to Gain Queue Advantage

USA - June 18 2017 Eldorado Trading Group LLC agreed to pay a fine of US $125,000 to resolve a disciplinary action brought by the New York Mercantile Exchange alleging

NYC-Based Employers: Don’t Ask for and Don’t Rely on Prior Compensation History When Considering Applicant’s Potential Hiring Beginning October 31

USA - June 18 2017 On May 4, New York City enacted a local law barring employers from asking about a prospective employee's salary history (including benefits or other

US Department of Treasury Recommends Modifications to Volcker and Bank Capital Rules, and Rationalization of Financial Regulation

USA - June 18 2017 The US Department of Treasury proposed substantial amendments to the Volcker Rule and made other recommendations regarding the regulation of banks

FINRA Launches Outreach Initiative to Better Understand FinTech Innovations and Impact on Securities Industry

USA - June 18 2017 The Financial Industry Regulatory Authority introduced a new initiative to increase dialogue in the securities industry and better understand