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Financial Services Update, Vol. 11, no. 13
  • Winston & Strawn LLP
  • USA
  • April 4 2016

According to the Institute for Women’s Policy Research in Washington, D.C., the U.S. gender wage gap is closing so slowly that pay equality won’t be


Proposed “Whistleblower Augmented Reward and Nonretaliation Act” Aims to Increase Protections for Financial Industry Whistleblowers
  • Epstein Becker Green
  • USA
  • March 8 2016

On February 25, 2016, Congressman Elijah E. Cummings (D-MD) and Senator Tammy Baldwin (D-WI) introduced the Whistleblower Augmented Reward and


An Introduction to the Commodity Futures Trading Commission’s Whistleblower Program
  • Katz Marshall & Banks LLP
  • USA
  • March 4 2016

For the time being, it might be helpful to think of the Commodity Future Trading Commission's whistleblower reward program as the younger sibling of


CFTC Whistleblower Practice Guide
  • Katz Marshall & Banks LLP
  • USA
  • February 18 2016

Navigating the CFTC Whistleblower Program and the Rules and Procedures that Can Lead to Financial Rewards for Reporting Commodity Futures Trading


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