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Results: 11-20 of 11,052

Southern District Decision Highlights Challenges for Private Litigants Pursuing Manipulation Claims Under the CEA
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • April 19 2017

The U.S. District Court in the Southern District of New York recently dismissed a class action lawsuit alleging that Total, S.A., Total Gas & Power


Financial Services Update, Vol. 12, Issue 16
  • Winston & Strawn LLP
  • USA
  • April 17 2017

Winston & Strawn’s weekly Financial Services Update publication covers news pertinent to the financial services industry and provides summary analysis


U.S. Futures Exchanges Disciplinary Actions Report - March 2017
  • Bracewell LLP
  • USA
  • April 17 2017

A non-member entity was found to have entered into an EFRP transaction on December 1, 2014 that was in violation of Exchange Rule 538.C. No evidence


Employees Criminally Charged With Theft of Trade Secrets From Two Financial Services Trading Firms
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2017

One former employee of Susquehanna International Group LP ("SIG") and another from KCG Holdings, Inc. were criminally charged in federal court with


CFTC Staff Gives OK for US FCM to Post Customer Securities to a UK Individual Segregated Account
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 16 2017

The Division of Swap Dealer and Intermediary Oversight authorized an US-based futures commission merchant to post customer-owned securities with its


Defendants Named in SEC Spoofing Claim Vehemently Dispute Customer’s Trading Violated Law
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2017

Lek Securities Corporation ("LEK"), a broker-dealer, and Samuel Lek, the firm's principal owner and chief executive officer, vehemently opposed the


NFA Issues Notice Regarding Updated FinCEN AMLCFTC Guidance
  • Katten Muchin Rosenman LLP
  • USA
  • April 14 2017

On April 10, the National Futures Association (NFA) published Notice I-17-09, which notified member futures commission merchants (FCMs) and


The Financial Report, 13 April 2017, News from the Americas
  • DLA Piper LLP
  • United Kingdom, USA
  • April 13 2017

DealBook reported that Gary D. Cohn, President Trump’s chief economic adviser, said in a meeting with the Senate Banking Committee


The Financial Report, 13 April 2017, US Commodity Futures Trading Commission Developments
  • DLA Piper LLP
  • USA
  • April 13 2017

The Division of Swap Dealer and Intermediary Oversight granted no-action relief from CPO registration to two entities operating collective investment


The Financial Report, 13 April 2017, US Exchanges and Self-Regulatory Organizations
  • DLA Piper LLP
  • USA
  • April 13 2017

New York Stock Exchange LLC Regulation announced that the CAT NMS LLC Operating Committee will host a Consolidated Audit Trail Industry Webcast at