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Four CME Group Traders Fail to Answer Charges and Have Default Judgments Entered Against Them for Prohibited Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Four unrelated CME Group traders failed to respond to CME Group disciplinary actions and were sanctioned for various offenses, including trading


City of London Law Society and Joint Working Parties Publish Second EU Market Abuse Regulation Q&A
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom
  • August 19 2016

On August 17, the City of London Law Society and Law Society Company Law Committees' Joint Working Parties on Market Abuse, Share Plans and Takeovers


Investment Bank Agrees to FINRA Settlement for Internal Hoots That Allegedly Risked Leakage of Confidential Information
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

Deutsche Bank Securities Inc. agreed to pay a fine of US $12.5 million to the Financial Industry Regulatory Authority to settle charges that the firm


Appellate Court Says SEC Administrative Forums Constitutionally Okay for Enforcement Actions
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

A federal court of appeals in the District of Columbia upheld the constitutionality of the Securities and Exchange Commission's administrative judges


FinCEN Issues FAQs on Customer Due Diligence Requirements for Financial Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

In mid-July the Financial Industry Crime Enforcement Network of the United States Department of the Treasury issued guidance in the form of


Broker-Dealer to Pay US $1.2 Million to FINRA for Widespread OATS Violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

Barclays Capital Inc. agreed to pay a fine of US $1.3 million to the Financial Industry Regulatory Authority to resolve charges that, from September


ESMA Fines Rating Agency For Breakdowns in Internal Controls
  • Katten Muchin Rosenman LLP
  • European Union
  • July 24 2016

The European Securities and Markets Authority fined Fitch Ratings Limited 1.38 million for a number of different breaches of its regulations


Global Head of FX Cash-Trading Desk of Global Investment Bank Arrested for Front Running
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

Mark Johnson, former head of global foreign exchange cash trading at HSBC Bank, and Stuart Scott, former head of FX cash trading for HSBC for Europe


Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was


OCIE Begins IA Sweep to Detect Possible Conflict of Interest Related to Recommendations of Mutual Fund Shares Classes With High Charges
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced that, in upcoming audits, it would specifically