We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 592

CFTC To Host Roundtable on Recent CPMI-IOSCO Guidance
  • Katten Muchin Rosenman LLP
  • Global, USA
  • September 23 2016

The Commodity Futures Trading Commission will host a roundtable on October 6 to gather feedback in relation to a report on central counterparty


International Bank Fined by HK Regulator for Position Limit Breaches in Futures and Options
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 18 2016

The Hong Kong Securities and Futures Commission fined The Hong Kong and Shanghai Banking Corporation Limited the equivalent of approximately US $325


Australia-Regulated Trading Facility Authorized to Permit US Persons to Trade Swaps Without SEF Registration
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Two divisions of the Commodity Futures Trading Commission granted no-action relief to Yieldbroker Pty Limited, an Australia-based swap multilateral


CME Group Files and Settles Disciplinary Actions Alleging Layering, Impermissible Transitory EFRPs and a Transfer Trade
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Chicago Board of Trade and the Chicago Mercantile Exchange each brought and settled disciplinary actions against Fredrik Nielsen, a nonmember


Another Day, Another Large SEC Whistleblower Award; CFTC Proposes to Update Its Whistleblower Rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Securities and Exchange Commission awarded more than US $22 million to a whistleblower for voluntarily providing original information that


FCA Launches New Website on MiFID II Market Data Processing
  • Katten Muchin Rosenman LLP
  • USA
  • September 9 2016

On September 5, the UK Financial Conduct Authority (FCA) launched a new webpage dedicated to market data reporting and the development of its new


CFTC Issues Comparability Determination for Japan Uncleared Swap Margin Rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 9 2016

On September 8, the Commodity Futures Trading Commission approved a comparability determination permitting substituted compliance with certain


SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories
  • Katten Muchin Rosenman LLP
  • USA
  • September 2 2016

On August 29, the Securities and Exchange Commission announced the adoption of amendments to the Securities Exchange Act of 1934 (Exchange Act) Rule


Bridging the Week
  • Katten Muchin Rosenman LLP
  • USA
  • August 29 2016

Last week, a nonmember was summarily barred from accessing all CME Group exchanges' markets for 60 days for endeavoring to disguise that he was the


CFTC and FIA Object to CFPB Proposal to Ban Certain Arbitration Agreements to the Extent They Pertain to Commission-Regulated Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2016

The Commodity Futures Trading Commission and the Futures Industry Association filed comment letters with the US Bureau of Consumer Financial