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 1,273

Investment management legal regulatory update - November 2015
  • Morrison & Foerster LLP
  • USA
  • November 17 2015

In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced compliance

Commodities trader found guilty in first “spoofing” prosecution
  • Porter Wright Morris & Arthur LLP
  • USA
  • November 5 2015

A Chicago jury took one hour to find a trader guilty of "spoofing" some of the world's largest commodities futures markets by deceptive electronic

Final Written Decision finding claims unpatentable CBM2014-00114
  • Drinker Biddle & Reath LLP
  • USA
  • October 30 2015

Attorney argument cannot take the place of evidence.In its Final Written Decision, the Board found that Petitioner had demonstrated by a

CFTC enforcement action introduces new theory of spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2015

The Commodity Futures Trading Commission filed civil charges in a federal court in Chicago last week against an individual and the trading firm for

Financial services update vol. 10, issue 35
  • Winston & Strawn LLP
  • USA
  • October 12 2015

In a closely watched decision, last week the Supreme Court dealt a blow to the Government’s aggressive efforts to prosecute insider trading by

CFTC requires more swap market intermediaries to become NFA members
  • Clifford Chance LLP
  • USA
  • September 25 2015

The U.S. Commodity Futures Trading Commission has adopted a rule that will require each person registered with the CFTC as:

Alleged Flash Crasher's formal indictment provides more details regarding his purported spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • September 13 2015

The US Department of Justice filed a formal indictment against Navinder Singh Sarao in a US federal court in Chicago on September 2, 2015, alleging

Financial services update vol. 10, issue 29
  • Winston & Strawn LLP
  • European Union, USA
  • August 24 2015

The United States Treasury Department’s Financial Crimes Enforcement Network (FinCEN) is once again pushing for regulations that would require

Financial services update vol. 10, issue 28
  • Winston & Strawn LLP
  • USA
  • August 17 2015

On August 10th SEC Commissioner Luis Aguilar issued a statement reiterating the need for published SEC Enforcement orders to include sufficiently

Financial services update vol. 10, issue 27
  • Winston & Strawn LLP
  • USA
  • August 10 2015

On August 5th, the Securities and Exchange Commission ("SEC") adopted a final rule requiring public companies to disclose the ratio of the