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Results: 1-10 of 545

Global Head of FX Cash-Trading Desk of Global Investment Bank Arrested for Front Running
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

Mark Johnson, former head of global foreign exchange cash trading at HSBC Bank, and Stuart Scott, former head of FX cash trading for HSBC for Europe


CME Group Proposes New Clearing Member Category to Help Customers Avoid Pro Rata Distribution Risk in Case of FCM Insolvency
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

CME Group filed proposed rule changes with the Commodity Futures Trading Commission that would create a new category of clearing membership, termed a


CME Group Sanctions Market Participants for Mishandling a Delivery, a Non-Bona Fide EFRP, a Transitory EFRP and Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

INTL FCStone settled a disciplinary action brought by the New York Mercantile Exchange for allegedly not liquidating a customer's March 2016 RBOB


CFTC Extends DTCC-SWIFT’s LEI Provider Designation
  • Katten Muchin Rosenman LLP
  • USA
  • July 22 2016

On July 21, the Commodity Futures Trading Commission published in the Federal Register an order to extend for an additional year the CFTC's


CME Group Sanctions Two Firms for Purported Transitory EFRPs and One Individual for Non-Bona Fide Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

A Business Conduct Committee of the Chicago Board of Trade accepted settlements from JP Morgan Chase Bank NA and JBS USA, LLC for allegedly entering


Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was


Computer Coding Error Results in Broker-Dealer Blue Sheets’ Errors Over 15 Years and US $7 Million SEC Fine
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Citigroup Global Markets Inc. agreed to pay a US $7 million fine to the Securities and Exchange Commission to resolve charges that, from 1999 through


Correction
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Last week's Bridging the Weeks included an article entitled, "New FINRA Rule Governing Accounts Opened by Associated Persons at Broker-Dealer Other


CFTC Rejects Amici Arguments in Alleged Manipulation Case
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Commodity Futures Trading Commission vehemently rejected friend of the courts' (amici) submissions submitted in its enforcement action against


SEC Enacts Further Rules Governing Security-Based Swaps Transaction Reporting
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission approved amendments and guidance to rules regarding the reporting and public dissemination of security-based