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Results: 1-10 of 55

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


SEC Seeks Views on Whether Proposal for Single Consolidated Audit Trail of All Equity and Equity Options Trading Is CAT’s Meow
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The Securities and Exchange Commission voted to publish a plan to create a single consolidated audit trail (CAT) to track all equities and options


CME Member Sanctioned for Trading on Non-Public Customer Information; FCM Fined for Netting Down and Not Closing Out Open Positions
  • Katten Muchin Rosenman LLP
  • USA
  • March 13 2016

Andrew Rudich, a member of the Chicago Mercantile Exchange, agreed to settle charges brought by the CME that, on numerous occasions between March 1