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Results: 1-10 of 566

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


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


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


CME Group Implements Some New Offenses and Makes Technical Amendments to Globex Access Restrictions Rule
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

CME Group amended its General Offenses rule (click here to access CME Group Rule 432) for each of its designated contract markets and the Swap


SEC Files Charges Against Broker-Dealer and Chief AML Officer for Failure to File Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2017

The Securities and Exchange Commission filed an administrative proceeding against Windsor Street Capital, L.P., a registered broker-dealer (formerly


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


Broker-Dealer Resolves SEC Charges That It Misled Broker-Dealer Clients Regarding How It Would Price Their Retail Customers' Orders
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

Citadel Securities LLC agreed to pay sanctions of US $22.6 million to settle charges brought by the Securities and Exchange Commission related to the


Alleged Improper ADR Handling Results in SEC Charges and Settlement
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

ITG Inc. agreed to pay a fine and disgorgement totaling US $24.4 million to settle charges brought by the Securities and Exchange Commission that it


SEC Charges Publicly Traded Global Financial Services Firm With Miscomputing Regulatory Capital
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Bank of New York Mellon Corporation agreed to pay a fine of US $6.6 million to resolve charges brought by the Securities and Exchange Commission


Singapore MAS Proposes Amendments to Security and Futures to Enhance OTC Regulation and Implement Market Misconduct Prohibitions
  • Katten Muchin Rosenman LLP
  • Singapore
  • January 16 2017

A new bill initially proposed by the Monetary Authority of Singapore aimed at enhancing regulatory protections for retail investors and toughening