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Results: 1-10 of 1,144

Two Related Broker-Dealers To Pay US $17 Million for Widespread AML Compliance Failures; Former AML Compliance Officer Also Sanctioned
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

Raymond James & Associates, Inc. (RJA), Raymond James Financial Services, Inc. (RJFS) and Linda Busby, the anti-money laundering compliance officer


CFTC Issues Residual Interest Deadline Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 13, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) issued the Residual Interest Deadline


CFPB Issues Proposed Rule to Restrict the Use of Mandatory Arbitration Clauses and Class Action Waivers
  • Katten Muchin Rosenman LLP
  • USA
  • May 16 2016

If implemented, the Proposed Rule will result in an increase in class action lawsuits against consumer finance companies that currently include class


Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures Trading Commission, and Salvatore Russo, its


Broker-Dealer Sanctioned by FINRA for Alleged Failure to Supervise Use of Flash Research Emails That Might Convey Nonpublic Information
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The Financial Industry Regulatory Authority brought and settled charges against Stephens Inc., a broker-dealer, for not supervising "flash" emails


Dubai-Based Trader Barred by DFSA for Hiding Trading Losses of US $11 Million by Mismarking Positions
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The Dubai Financial Services Authority barred Noyan Ayhan from engaging in financial services functions in or from the Dubai International Financial


Inspection Unit Criticizes CFTC’s Renting of Unused Office Space
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The Office of Inspector General of the Commodity Futures Trading Commission criticized the agency's rental of space that it does not use. According


No Change to Deadline for FCMs to Top-Up Customer Segregated Accounts Recommended by CFTC Staff
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

Staff of the Commodity Futures Trading Commission recommended that there be no change in the current time that futures commission merchants must put


Fed Proposes Restrictions on Counterparties to Biggest Banks From Cancelling Certain Non-Cleared Financial Contracts After a Bank Enters Bankruptcy
  • Katten Muchin Rosenman LLP
  • Global, USA
  • May 8 2016

The Board of Governors of the Federal Reserve System proposed a rule that would require US global systemically important banking institutions to


FiNCEN Finalizes Rules Requiring Banks, Broker-Dealers, FCMs, Mutual Funds and IBs to Help Verify Beneficial Owners of Certain Accounts
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2016

The Financial Crimes Enforcement Network finalized rules requiring banks, broker-dealers, future commission merchants, introducing brokers and mutual