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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


CME Group Proposes New Clearing Member Category to Help Customers Avoid Pro Rata Distribution Risk in Case of FCM Insolvency
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

CME Group filed proposed rule changes with the Commodity Futures Trading Commission that would create a new category of clearing membership, termed a


MF Global and Individual Defendants Finalize Settlement With Customers and Other Creditors
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

The infamous history of MF Global is closer to ending after the administrator for the bankrupt holding company filed a proposed notice of settlement


CME Group Sanctions Market Participants for Mishandling a Delivery, a Non-Bona Fide EFRP, a Transitory EFRP and Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

INTL FCStone settled a disciplinary action brought by the New York Mercantile Exchange for allegedly not liquidating a customer's March 2016 RBOB


ESMA Issues Update on Extension of Funds' Marketing Passport to 12 Non-EU Countries
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • July 24 2016

The European and Securities Markets Authority reported that equivalency in oversight of US and European Union investment funds not involving any


FINRA to Federal Courts: Our Rules Trump Your Decisions
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

The Financial Industry Regulatory Authority issued a regulatory notice to member firms that warned them against eliminating the possibility of a


CFTC Staff Suggest Measures by Clearinghouses to Enhance Recovery and Wind-Down Plans
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

Staff of the Commodity Futures Trading Commission's Division of Clearing and Risk issued guidance to derivatives clearing organizations regarding


FINRA Proposes To Require Members To Report Transactions in US Treasury Securities to TRACE
  • Katten Muchin Rosenman LLP
  • USA
  • July 22 2016

On July 19, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to amend its Trade


European Commission Adopts MiFID II and MiFIR Delegated Regulations
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • July 22 2016

On July 14, the European Commission (Commission) adopted several Delegated Regulations (Delegated Regulations) to supplement the amended and restated


SEC Proposes Amendments To Update and Simplify Disclosure Requirements: A Closer Look
  • Katten Muchin Rosenman LLP
  • USA
  • July 22 2016

On July 13, the Securities Exchange Commission proposed and requested comment regarding rule amendments to update and simplify certain disclosure