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Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


FCM Resolves CME Clearing House Risk Committee Charge of Failing to Have BCP Procedures
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

On January 27, the CME Group Clearing House Risk Committee publicized four Disciplinary actions that were settled by clearing members. In one action


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


FIA Publishes Due Diligence Questionnaire for IT Outsourcing
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

FIA's e-Trading Working Group published a due diligence questionnaire intended to help investment firms subject to the Markets in Financial


Inspector General Says CFTC Should Test FCMs’ and SDs’ Cybersecurity Policies
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Office of Inspector General of Commodity Futures Trading Commission's said the agency's Division of Swap Dealer and Intermediary Oversight should


DCO, DCM, SEF and SDR System Safeguard Rules Approved by CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Commodity Futures Trading Commission adopted final amended rules implementing enhanced cybersecurity testing and other requirements for


Bitcoin Exchange Previously Fined by CFTC Now Hacked
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

Bitfinex, which just a few weeks ago agreed to settle a complaint filed by the Commodity Futures Trading Commission for operating an online platform


BIS and IOSCO Provide Guidance on Cybersecurity Measures That Should Be Adopted by Financial Market Infrastructures
  • Katten Muchin Rosenman LLP
  • Global, USA
  • July 10 2016

The Bank for International Settlements and the International Organization of Securities Commissions issued guidance to financial market


SEC Sues UK Resident Accused of Hacking Brokerage Accounts of US Persons to Place Unauthorized Trades
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2016

The Securities and Exchange Commission filed charges against Idris Mustapha, a UK citizen, in a federal court in New York, claiming that Mr. Mustapha


FINRA Announces Modifications to IARD Accounting System
  • Katten Muchin Rosenman LLP
  • USA
  • June 10 2016

The Financial Industry Regulatory Authority, which administers the Investment Adviser Registration Depository (IARD) system, recently announced that