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Results: 1-10 of 68

FinCEN proposes new anti-money laundering rules for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 31 2015

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the US Department of the Treasury, released proposed rules that


FinCEN proposes AML and SAR requirements for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

The Financial Crimes Enforcement Network proposed rules requiring Securities and Exchange Commission-registered investment advisers to establish


IFUS sanctions West Oaks Energy over US $415,000 for position limit violations; other firms fined for pre-execution communication, block trades and EFRP Rule infractions
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

West Oaks Energy agreed to pay a fine of almost US $248,000 and disgorgement of almost $168,000 to resolve allegations by ICE Futures U.S. that it


Anti-money laundering program and suspicious activity report filing for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking that would require registered investment advisers to


Yet another firm fined by FINRA for Reg SHO violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 16 2015

StockCross Financial Services, Inc., agreed to pay a fine of US $800,000 to resolve allegations by the Financial Industry Regulatory Authority that


Florida lawyer settles CFTC complaint charging he aided and abetted his clients’ unlawful precious metals schemes
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

Jay Grossman, a Florida-based attorney, settled an enforcement action brought by the Commodity Futures Trading Commission related to his alleged


FinCEN issues advisory on FATF-identified jurisdictions with AMLCFT deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

On July 20, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) has updated


CFTC sues Chinese citizen accused of executing fraudulent money pass trades
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2015

The Commodity Futures Trading Commission recently sued Chinese citizen Yumin Li, for violations of the Commodity Exchange Act (CEA). The CFTC accused


Former MF Global broker agrees to US $500,000 CFTC fine for attempting to manipulate palladium and platinum settlement prices from 2006 through 2008
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

Joseph Welsh, a former broker for MF Global, agreed to settle charges by the Commodity Futures Trading Commission against him that, from at least


CME Group requires profit disgorgement as part of position limit violation settlements; traders settle for alleged spoofing-type conduct on both CME Group and ICE Futures U.S.
  • Katten Muchin Rosenman LLP
  • USA
  • June 7 2015

Two unrelated firms were each fined US $25,000 and required to disgorge profits related to position limit violations involving futures traded on the