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Results: 1-10 of 455

SFC in Hong Kong Warns of Impending AML Enforcement Proceedings; Urges Brokerage Firms to Enhance Internal Controls
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 25 2016

The Hong Kong Securities and Futures Commission advised that it is currently investigating "a number of cases" of SFC licensed brokerage companies


CME Group Files and Settles Disciplinary Actions Alleging Layering, Impermissible Transitory EFRPs and a Transfer Trade
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Chicago Board of Trade and the Chicago Mercantile Exchange each brought and settled disciplinary actions against Fredrik Nielsen, a nonmember


Bridging the Week
  • Katten Muchin Rosenman LLP
  • USA
  • August 29 2016

Last week, a nonmember was summarily barred from accessing all CME Group exchanges' markets for 60 days for endeavoring to disguise that he was the


Nonmember Banned From Trading All CME Group Products for 60 Days Without a Hearing for Alleged Suspicious Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2016

Andrey Sakharov, a nonmember, was summarily barred from trading any CME Group product for 60 days based on a determination by CME Group's chief


Four CME Group Traders Fail to Answer Charges and Have Default Judgments Entered Against Them for Prohibited Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Four unrelated CME Group traders failed to respond to CME Group disciplinary actions and were sanctioned for various offenses, including trading


Appellate Court Says SEC Administrative Forums Constitutionally Okay for Enforcement Actions
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

A federal court of appeals in the District of Columbia upheld the constitutionality of the Securities and Exchange Commission's administrative judges


Investment Bank Agrees to FINRA Settlement for Internal Hoots That Allegedly Risked Leakage of Confidential Information
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

Deutsche Bank Securities Inc. agreed to pay a fine of US $12.5 million to the Financial Industry Regulatory Authority to settle charges that the firm


FinCEN Issues FAQs on Customer Due Diligence Requirements for Financial Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

In mid-July the Financial Industry Crime Enforcement Network of the United States Department of the Treasury issued guidance in the form of


Broker-Dealer to Pay US $1.2 Million to FINRA for Widespread OATS Violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2016

Barclays Capital Inc. agreed to pay a fine of US $1.3 million to the Financial Industry Regulatory Authority to resolve charges that, from September


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