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Results: 1-10 of 5,955

DOL Hosts Small Business Roundtable Regarding Fair Pay and Safe Workplaces Rule and Guidance
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2016

The Department of Labor ("DOL") recently hosted a Small Business Labor Safety Roundtable to discuss the new Fair Pay and Safe Workplaces Federal


FINRA Fines Broker-Dealer US $850,000 for Ignoring Red Flags of Office Manager’s Theft of Client Funds
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Ameriprise Financial Services, Inc., a broker-dealer, agreed to pay a fine of US $850,000 for its alleged failure to detect the conversion of US $370


New CFTC Commissioner Nominations Trudge Forward
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Brian D. Quintenz and Chris Brummer testified before the US Senate Committee on Agriculture, Nutrition and Forestry last week in support of their


International Bank Fined by HK Regulator for Position Limit Breaches in Futures and Options
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 18 2016

The Hong Kong Securities and Futures Commission fined The Hong Kong and Shanghai Banking Corporation Limited the equivalent of approximately US $325


Just in Time for Football Season, CFTC Chairman Decides to Punt Swap De Minimis Threshold for One Year
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Chairman Timothy Massad of the Commodity Futures Trading Commission announced his intention to recommend to his fellow commissioners that they delay


CME Group Sanctions Nonmembers for Impermissible Money Transfers and Pre-Execution Communications
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

The Chicago Board of Trade fined Zhi Guo Zhang, a nonmember, US $100,000 for engaging in noncompetitive soybean futures trades between October 8 and


Convicted Spoofer Denied Bail Pending Appeal of Adverse Verdict
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Michael Coscia, the first person prosecuted, convicted and sentenced to three years' imprisonment under a law prohibiting spoofing that was enacted


NYS Proposes Express Cybersecurity Requirements for Banks, Insurance Companies and Other NY-Regulated Financial Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

The New York State Department of Financial Services proposed comprehensive cybersecurity requirements for banks, insurance companies and other


Australia-Regulated Trading Facility Authorized to Permit US Persons to Trade Swaps Without SEF Registration
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Two divisions of the Commodity Futures Trading Commission granted no-action relief to Yieldbroker Pty Limited, an Australia-based swap multilateral


SEC Soon to Seek Public Input on Disruptive Trading Practices
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Mary Jo White, Chair of the Securities and Exchange Commission, indicated last week that staff is currently developing a rule proposal "designed to