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Cybersecurity, potential equity order routing conflicts and AML among the top examination priorities for SEC in 2015

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations published its priorities for examinations of investment

ICE Futures U.S. settles a number of position limit offenses; requires disgorgement in one instance

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

ICE Futures U.S. brought a number of disciplinary actions for violation of its position limit rules, in one case imposing both a fine and

CFTC extends no-action relief regarding reporting of certain identifying information in various enumerated jurisdictions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Commodity Futures Trading Commission's Division of Market Oversight extended relief previously granted to swap traders with CFTC reporting

NFA grants good faith relief through March 31 to members that conduct business with previously exempt CTAs and CPOs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The National Futures Association stated that members will not be in violation of its prohibition against conducting business with nonmembers required

Two legacy exchanges previously owned by Direct Edge Holdings settle charges for not fully describing order types to SEC

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

Two exchanges registered with the Securities and Exchange CommissionEDGA Exchange, Inc. and EDGX Exchange, Inc.agreed to pay US $14 million to

Summit Energy Services, Inc. fined by CFTC us $140,000 for acting as an unregistered CTA in providing risk management advice

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

Summit Energy Services, Inc.a Louisville, Kentucky-based firmwas fined US $140,000 by the Commodity Futures Trading Commission for advising its

Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged

SEC proposes reporting regime for security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission adopted two rules requiring security-based swap depositories to register with it, and enumerating such SDRs'

In life as in literature: The Big Short featured investment adviser misled investors says SEC administrative law judge

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

Harding Advisory LLC and Wing Chau, two of the subjects in Michael Lewis' The Big Short: Inside the Doomsday Machine, were held liable last week in

SEC 2015 examination priorities focus on liquid alternatives and fixed-income funds

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2015

On January 13, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2015 examination