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Results: 1-10 of 4,514

A week of trade: Congress advances numerous trade bills

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 27 2015

This past week saw more congressional activity on trade legislation than has been seen in some time. Both houses of US Congress marked up and

SEFs provided guidance by CFTC staff on projecting operating costs; SEFs and DCMs given relief regarding the handling of erroneous swaps trades; and SEFs, for swaps trade confirmations too

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2015

The Commodity Futures Trading Commission's Divisions of Clearing and Risk and Market Oversight granted no-action relief to swap execution facilities

OCIE issues additional guidance regarding examinations of Never-Before-Examined investment companies

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2015

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations provided additional guidance in connection with its 2015

ICE Clear U.S. plans major system changes on August 20

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2015

ICE Clear U.S. is proposing a number of system enhancements beginning August 20, including a change to its margin methodology to use ICE SPAN. ICUS

SEC awards over US $1 million to compliance officer whistleblower who turns in own company

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2015

The Securities and Exchange Commission has agreed to pay between US $1.4 and $1.6 million to a compliance officer with a corporation for the

Non-member barred for five years from trading on CME Group exchanges for not cooperating with NYMEX disciplinary processes

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2015

George Dennis, a non-member of the New York Mercantile Exchange, was prohibited from trading on any CME Group market for five years for not

Volcker Alliance calls for CFTC and SEC merger among other financial oversight agencies’ reform

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2015

A not-for-profit think tank headed by Paul Volcker, former Chairman of the Board of Governors of the Federal Reserve System, has called for a

London-based futures trader arrested, sued by CFTC and criminally charged with contributing to the may 2010 “Flash Crash” through spoofing

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom, USA
  • -
  • April 26 2015

Navinder Singh Sarao, a London-based trader, was arrested at his home in the United Kingdom on April 21, 2015, and accused by both the US Commodity

Deutsche Bank fined US $2.5 billion by four regulators for LIBOR and FX manipulation

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom, USA
  • -
  • April 26 2015

Three regulatory agencies in the United States and one in the United Kingdom filed and settled charges against Deutsche Bank AG and one subsidiary

DOL proposes to revise definition of “fiduciary” under ERISA

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 24 2015

On April 20, the US Department of Labor (DOL) published a proposal to revise portions of the definition of a “fiduciary” under the Employee