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CME Group Proposes to Toughen Requirements Prohibiting Exchange Access by Persons Subject to Economic Sanctions
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

The CME Group is adding one new rule and amending two others to minimize the likelihood that its exchanges might be used for illicit money laundering


Former MF Global CEO Claims CFTC Charges Against Him Are Meritless
  • Katten Muchin Rosenman LLP
  • USA
  • January 2 2016

Jon Corzine, former chief executive officer of MF Global Inc. (MFG), objected to a proposed motion for summary judgment to be filed by the Division


Global Food Merchant’s Motion to Dismiss CFTC’s Enforcement Action for Alleged Manipulation Denied
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

The US trial court handling the enforcement action by the Commodity Futures Trading Commission against Kraft Foods Group, Inc. and Mondelez Global


Bank Sanctioned US $307 Million by CFTC and SEC for Alleged Conflicts of Interest in Investing Clients’ Funds
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

The Commodity Futures Trading Commission and the Securities and Exchange Commission both filed and settled enforcement actions naming JPMorgan Chase


Broker-Dealer Fined US $1.25 Million for Not Fingerprinting Non-Registered Employees
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

Merrill Lynch, Pierce, Fenner & Smith, Incorporated, agreed to pay a fine of US $1.25 million to the Financial Industry Regulatory Authority to


Swiss Regulator Bans Six Managers and Traders for Employer’s Market Infractions in Foreign Exchange and Precious Metals Trading
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

The Swiss Financial Market Supervisory Authority banned six managers and traders formerly associated with UBS's foreign exchange and precious metals


CCO fined and suspended by SEC for recidivist violation by investment adviser; sanctions against IA and principals too
  • Katten Muchin Rosenman LLP
  • USA
  • November 22 2015

Christopher Kelly, the chief compliance office of Sands Brothers Asset Management LLC - a registered investment adviser - agreed to pay a fine of US


Bank settles NYS charges related to FX trading system that allegedly rejected some client orders where bank could not profit
  • Katten Muchin Rosenman LLP
  • USA
  • November 22 2015

Barclays Bank PLC and its New York branch agreed to pay US $150 million to the New York State Department of Financial Services to resolve charges


ICE Futures US sanctions FCM for failing to record and maintain oral communications in connection with block trades; other firms fined for wash sales and position limits violations
  • Katten Muchin Rosenman LLP
  • USA
  • November 15 2015

BGC Financial, L.P. Agreed to pay a fine of US $42,500 to resolve charges brought by a business conduct committee of ICE Futures U.S. that, on


CME enforcement actions penalize alleged wash trades and money transfers
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2015

Chicago Mercantile Exchange business conduct committees agreed to settlements with two individuals for allegedly engaging in prohibited wash trades