We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 5,021

CFTC proposes changes to swap data recordkeeping and reporting requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Commodity Futures Trading Commission proposed to amend certain of its rules regarding recordkeeping and reporting requirements for cleared swaps


OIG criticizes CFTC’s DMO for inadequate rule enforcement reviews, blames insufficient staff
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Office of Inspector General criticized the designated contract market rule enforcement review process of the Division of Market Oversight of the


Court approves MF Global Inc. trustee to make final distribution to unsecured general creditors
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Trustee for the Liquidation of MF Global Inc. - the defunct futures commission merchant that filed for bankruptcy in October 2011 - received


CME Group files disciplinary actions for trading ahead of block trades and failure to supervise an employee engaging in disruptive trading activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In two cases of first impression, CME Group exchanges brought and settled charges against a company for alleged disruptive trading activities by its


Promontory Financial agrees to pay US $15 million to resolve allegations regarding conflicted audit
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

Promontory Financial Group agreed to pay a US $15 million fine in order to resolve certain allegations made against it by the New York State


CFTC seeks comments on KRX petition to be exempt from DCO registration for swaps
  • Katten Muchin Rosenman LLP
  • South Korea, USA
  • August 23 2015

The Korean Exchange has filed a petition with the Commodity Futures Trading Commission for exemption from registration as a derivatives clearing


CCO liability
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In response to the article two weeks ago entitled "One CCO Sanctioned, Another Not, in SEC Enforcement Actions" (click here to access), Felix


Funds marketed as safe and low risk cost Citigroup affiliates US $180 million as a result of SEC charges
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

Two Citigroup entities agreed to settle charges by the Securities and Exchange Commission that they defrauded investors in two now-defunct hedge


Student internships result in bank’s settlement with SEC over alleged FCPA violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Bank of New York Mellon Corporation agreed to pay sanctions of almost US $15 million to resolve allegations by the Securities and Exchange


CFTC settles enforcement action against FCStone Markets for unauthorized swaps transactions of former trader
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Commodity Futures Trading Commission charged INTL FCStone Markets, LLC with failure to adequately supervise the swaps trading activities of