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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

General counsel update September 2014
  • Herbert Smith Freehills LLP
  • Russia, United Kingdom, USA, Australia, China, European Union, Hong Kong
  • September 29 2014

The London Court of International Arbitration (LCIA) Court's new rules come into force on 1 October 2014 and are to apply to any arbitration

Expect focus - volume III, Summer 2014
  • Carlton Fields Jorden Burt
  • USA
  • September 16 2014

EXPECTFOCUS is a quarterly review of developments in the insurance and financial services industry, provided on a complimentary basis to clients and

CFTC issues first whistleblower award
  • Jenner & Block
  • USA
  • August 7 2014

On May 20, 2014, the CFTC announced that it will make its first award under the Commission's Whistleblower Program, created in 2010. The

Recent cases - May 2014
  • Burr & Forman LLP
  • USA
  • May 28 2014

Plaintiffs filed suit against Grand Bank for Savings, FSB (“Grand Bank”) alleging violations of the Home Ownership Equity Protection Act (“HOEPA”