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Results: 11-20 of 727

Deutsche Bank fined US $2.5 billion by four regulators for LIBOR and FX manipulation
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Three regulatory agencies in the United States and one in the United Kingdom filed and settled charges against Deutsche Bank AG and one subsidiary


Canadian citizen charged by SEC with unlawful layering involving traders in China and Korea
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2015

The Securities and Exchange Commission filed a civil action in the US federal court in New Jersey against Aleksandr Milrud, claiming that he engaged


European Council approves strengthened EU anti-money laundering rules
  • Katten Muchin Rosenman LLP
  • European Union
  • April 24 2015

On April 20, the European Council of Ministers adopted its version of new rules aimed at preventing money laundering and terrorist financing in the


FFIEC releases revised BSAAML Examination Manual
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On November 26, the Federal Financial Institutions Examination Council (FFIEC) released the revised Bank Secrecy ActAnti-Money Laundering (BSAAML


European Commission fines ICAP 14.9 million for antitrust violations in connection with LIBOR manipulation; ICAP to challenge
  • Katten Muchin Rosenman LLP
  • European Union
  • February 8 2015

The European Commission fined ICAP plc 14.9 million (approximately US $16.9 million) for its alleged role in colluding with other brokers to


FCA sanctions Bank of Beirut, former compliance officer and former internal auditor for providing misleading information regarding AML systems and controls remediation
  • Katten Muchin Rosenman LLP
  • USA
  • March 8 2015

The Bank of Beirut was fined GBP 2.1 million (approximately US $3.16 million) by the Financial Conduct Authority for not fixing issues related to its


Securities class action dismissed where information was publicly available
  • Katten Muchin Rosenman LLP
  • USA
  • October 31 2014

The US District Court for the Western District of Washington recently dismissed a securities fraud class action against Zillow, Inc. and named


Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out


Merrill Lynch fined US $6 million by FINRA for Reg SHO violations and supervisory lapses
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

The Financial Industry Regulatory Authority fined two Merrill Lynch companies US $ 6 million in aggregate for not complying with certain requirements


Money service businesses for second largest virtual currency fined for AML deficiencies; Bitcoin exchange gets first NY license as trust company
  • Katten Muchin Rosenman LLP
  • USA
  • May 10 2015

Two purveyors of XRP, the second most popular virtual currency after Bitcoin, were fined last week by the Financial Crimes Enforcement Network and