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CME Settles With FCM for Failure to Timely Produce Documents; Other Exchange Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Wedbush Securities Inc. agreed to pay a fine of US $55,000 to resolve a disciplinary action brought by the Chicago Mercantile Exchange for failing to


Former FCM Traders Settle CFTC Charges They Engaged in Spoofing More Than 1,000 Times
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

The Commodity Futures Trading Commission resolved charges against Stephen Gola and Jonathan Brims, former associated persons of a futures commission


Brokerage Firms Fined Almost US $2 Million by HK Regulator for Position Reporting and Electronic Trading Systems Breaches
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • March 26 2017

Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) were fined HK $15 million (approximately US $2 million) by the


Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial Industry Regulatory Authority for failing to consider


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


SEC OCIE Provides Top Five List of Most-Identified Compliance Topics During Investment Adviser Examinations
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations published a Risk Alert that set forth the five topics that


IOSCO Publishes State of FinTech Overview
  • Katten Muchin Rosenman LLP
  • Global, USA
  • February 12 2017

The International Organization of Securities Commissions issued a report on developing financial technologies, including financing platforms, retail


CME Group Implements Some New Offenses and Makes Technical Amendments to Globex Access Restrictions Rule
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

CME Group amended its General Offenses rule (click here to access CME Group Rule 432) for each of its designated contract markets and the Swap


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


SEC Files Charges Against Broker-Dealer and Chief AML Officer for Failure to File Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2017

The Securities and Exchange Commission filed an administrative proceeding against Windsor Street Capital, L.P., a registered broker-dealer (formerly