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Results: 1-10 of 224

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


CFTC approves NFA’s enhanced retail forex requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Commodity Futures Trading Commission has approved amendments to National Futures Association’s (NFA’s) rules and an accompanying interpretive


The NASDAQ Stock Market LLC; notice of filing of proposed rule change to adopt a Kill Switch for NOM
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

On August 20, NASDAQ filed a proposed rule change with the Securities and Exchange Commission, which seeks to amend Chapter VI, Section 6, entitled


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


CFTC registers ICE Futures Canada and Montreal Exchange as FBOTs
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 28 2015

The Commodity Futures Trading Commission has issued orders granting foreign board of trade (FBOT) registration to ICE Futures Canada, Inc. and


CFTC proposes changes to swap data recordkeeping and reporting requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Commodity Futures Trading Commission proposed to amend certain of its rules regarding recordkeeping and reporting requirements for cleared swaps


CME Group files disciplinary actions for trading ahead of block trades and failure to supervise an employee engaging in disruptive trading activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In two cases of first impression, CME Group exchanges brought and settled charges against a company for alleged disruptive trading activities by its


CFTC settles enforcement action against FCStone Markets for unauthorized swaps transactions of former trader
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Commodity Futures Trading Commission charged INTL FCStone Markets, LLC with failure to adequately supervise the swaps trading activities of


ASX clear approved as exempt clearinghouse for swaps by CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

ASX Clear (Futures) Pty Limited received the first order of exemption from registration as a derivatives clearing organization by the Commodity


CFTC proposes cleared swap reporting amendments
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2015

The Commodity Futures Trading Commission has proposed to amend Part 45 of its regulations insofar as they relate to the reporting to a swaps data