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Results: 1-10 of 722

Financial services update, vol. 11, issue 5
  • Winston & Strawn LLP
  • USA
  • February 8 2016

Among the instruments that EU lawmakers have passed to pave the way of the Banking Union, the Directive on Deposit Guarantee Schemes (“DGS”


CFTC Launches Whistleblower Program’s Website
  • Katten Muchin Rosenman LLP
  • USA
  • January 22 2016

On January 21, the Commodity Futures Trading Commission launched its Whistleblower Program’s new website, www.whistleblower.gov. The new website has


Broker-Dealer Agrees to FINRA Sanction of US $2.95 Million for Alleged Blue Sheet Failures; Another to Pay Almost US $13 Million for Mutual Fund Suitability Violations
  • Katten Muchin Rosenman LLP
  • USA
  • January 2 2016

Macquarie Capital (USA) Inc. agreed to pay a fine of US $2.95 million to the Financial Industry Regulatory Authority to resolve charges that, between


The CFTC brings (and settles) its first insider-trading case: implications for all private fund managers
  • Schulte Roth & Zabel LLP
  • USA
  • December 15 2015

The U.S. Commodity Futures Trading Commission recently settled its first-ever insider-trading case, relying on new powers granted to it under the


CME Group issues notice related to employee supervision
  • Katten Muchin Rosenman LLP
  • USA
  • November 6 2015

On November 2, CME Group issued Market Regulation Advisory Notice RA1517-5 (Notice) related to the supervision of employees and agents conducting


IB employee ordered to make full restitution and pay a fine for unauthorized trading activity
  • Katten Muchin Rosenman LLP
  • USA
  • October 18 2015

A US federal court in Ohio ordered Bradley A. Miklovich, a former employee of Rice Investment Company, a Commodity Futures Trading


CFTC issues second whistleblower award to the tune of $290,000
  • Proskauer Rose LLP
  • USA
  • October 8 2015

On September 29, 2015, the U.S. Commodity Futures Trading Commission (CFTC) announced that it will make its second award as part of its whistleblower


CME Group files disciplinary actions for trading ahead of block trades and failure to supervise an employee engaging in disruptive trading activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In two cases of first impression, CME Group exchanges brought and settled charges against a company for alleged disruptive trading activities by its


Financial services update vol. 10, issue 25
  • Winston & Strawn LLP
  • USA
  • July 27 2015

On July 20, the U. S. Department of the Treasury published a formal Notice and Request for Comment on the subject of expanding access to credit


Futures trader charged with stealing proprietary trading code from former trading firm
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

David Newman was indicted by a federal grand jury in Chicago for stealing trading strategy computer code from an unnamed Chicago-based high-speed