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CME Group Settles Disciplinary Action Alleging That Automatic Liquidation of Under-Margined Customers’ Positions By Non-US Futures Broker Constituted Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • March 20 2017

CME Group announced today that Saxo Bank AS, a member firm, agreed to pay an aggregate fine of US $190,000 to the Chicago Board of Trade and the


CFTC Chairman Nominee Warns of Tough Love to Come: KISS But Also Aggressive and Assertive Enforcement:
  • Katten Muchin Rosenman LLP
  • USA
  • March 19 2017

In a speech last week before an assembly of industry executives at FIA's annual Boca Raton conference, J. Christopher Giancarlo, nominee to be


Federal Appeals Court Holds Companies Can’t Retaliate Against Internal Whistleblowers Even When No SEC Reporting
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

A federal appeals court in San Francisco ruled that anti-retaliation provisions under whistleblower rules of the Securities and Exchange Commission


CBOE Futures Privilege Holders Resolve Disciplinary Actions
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

CBOE Futures Exchange brought two actions in November 2016 against trading privilege holders who allegedly placed orders in the CBOE Volatility Index


US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

Lek Securities Corporation ("LEK"), a US-registered broker-dealer and Samuel Lek, its 70 percent owner and chief executive officer, were sued by the


CTA and Principal Barred as NFA Members for Not Cooperating With NFA Examination
  • Katten Muchin Rosenman LLP
  • USA
  • March 5 2017

NEX Capital Management LLC , a registered commodity trading advisor, and Jacob Wohl, an associated person and principal of Nex Capital, were


Australian Regulator Sanctions Broker for Engaging in Pre-Negotiated Futures Transactions With Client Without Requisite Time Delay
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • February 27 2017

The Australian Securities & Investment Commission fined BGC Partners (Australia) Pty Limited Aus $90,000 (approximately US $69,000) for failure to


EU and Prudential Regulators Issue Statements on March 1 Compliance With Swap Margin Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 24 2017

Lacking the ability to issue formal no-action relief from strict compliance with the variation margin rules for uncleared swaps coming into effect on


SEC Whistleblower Protection: Recent Cautionary Tales and New Best Practices
  • Katten Muchin Rosenman LLP
  • USA
  • February 23 2017

Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against


SEC Whistleblower Protection: Recent Cautionary Tales and New Best Practices
  • Katten Muchin Rosenman LLP
  • USA
  • February 23 2017

Although 2017 has barely begun, the Securities and Exchange Commission (SEC) has continued to aggressively pursue enforcement actions against