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Results: 1-10 of 573

Malaysian National Sentenced by Singapore Court to 16 Weeks Imprisonment for Stock-Based Spoofing; PRC Resident Fined by China Regulator for Similar Conduct
  • Katten Muchin Rosenman LLP
  • Hong Kong, Malaysia
  • March 26 2017

Dennis Tey Thean Yang, a Malaysian national, was sentenced to 16 weeks imprisonment by a Singapore judge after he pleaded guilty to charges that he


Brokerage Firms Fined Almost US $2 Million by HK Regulator for Position Reporting and Electronic Trading Systems Breaches
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • March 26 2017

Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) were fined HK $15 million (approximately US $2 million) by the


Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial Industry Regulatory Authority for failing to consider


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


HK SFC Sanctions Second Brokerage Company for Third-Party Deposits and Individual Manager at a Previously Fined Broker
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 19 2017

Zhongtai International Securities Limited was fined HK $2.6 million (US $335,000) for not having appropriate internal procedures to detect and report


HK SFC Sanctions Securities and Futures Broker for AML Breaches in Handling Third-Party Payments
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 12 2017

The Hong Kong Securities and Futures Commission fined Guangdong Securities HK $3 million (US $386,000) for failing to comply with anti-money


US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes
  • Katten Muchin Rosenman LLP
  • 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


IOSCO Publishes State of FinTech Overview
  • Katten Muchin Rosenman LLP
  • Global, USA
  • February 12 2017

The International Organization of Securities Commissions issued a report on developing financial technologies, including financing platforms, retail


SEC OCIE Provides Top Five List of Most-Identified Compliance Topics During Investment Adviser Examinations
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations published a Risk Alert that set forth the five topics that


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the