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Results: 1-10 of 1,761

NFA announces new filing process for swap dealer and major swap participant CCO reports
  • Katten Muchin Rosenman LLP
  • USA
  • January 30 2015

On January 23, the National Futures Association (NFA) issued a notice informing its members that the annual reports required by NFA rules to be


Sentinel management former CEO sentenced to 14 years in prison for fraud; former head trader receives eight-year term
  • Katten Muchin Rosenman LLP
  • USA
  • February 1 2015

Eric Bloom, former chief executive officer, and Charles Mosley, former head trader, were both sentenced to long terms in prison for their roles in the


US Judge says Sentinel 2007 transfers to BNY Mellon cannot be reversed as made in good faith
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2014

The Bank of New York Mellon Corporation (formerly Bank of New York) was absolved of having engaged in "egregious misconduct" in connection with its


Retail FX dealer sanctioned US $600,000 by CFTC for three days of net capital violations, failure to supervise and reporting matter
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2014

IBFX, Inc.a registered retail foreign exchange dealersettled charges brought by the Commodity Futures Trading Commission that, on three occasions


CFTC commissioner laments flawed US swaps trading model
  • Katten Muchin Rosenman LLP
  • USA
  • February 1 2015

J. Christopher Giancarlo, the newest commissioner of the Commodity Futures Trading Commission, published a white paper that severely criticized the


Firm fined by ICE futures U.S. for not having adequate ATS safeguards to avoid self-matching
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2014

Richfield Investments Inc. agreed to pay a fine of US $20,000 to ICE Futures U.S. in connection with "numerous" self-matched trades on December 9


CFTC grants order of registration to Tokyo Commodity Exchange
  • Katten Muchin Rosenman LLP
  • USA
  • January 23 2015

The Commodity Futures Trading Commission has issued an order granting the Tokyo Commodity Exchangean exchange subject to the regulatory supervision


London-based futures trader arrested, sued by CFTC and criminally charged with contributing to the may 2010 “Flash Crash” through spoofing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Navinder Singh Sarao, a London-based trader, was arrested at his home in the United Kingdom on April 21, 2015, and accused by both the US Commodity


Futures trader charged with stealing proprietary trading code from former trading firm
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

David Newman was indicted by a federal grand jury in Chicago for stealing trading strategy computer code from an unnamed Chicago-based high-speed


NFA proposes applying just and equitable requirements to swaps activities too
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The National Futures Association has proposed extending its requirements that members observe "high standards of commercial honor and just and