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Results: 11-20 of 830

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


Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2014

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to


Japan SESC files spoofing action
  • Katten Muchin Rosenman LLP
  • Japan
  • October 12 2014

The Japan Securities and Exchange Surveillance Commission announced it had filed charges with the Tokyo District Public Prosecutors Office against


Financial action task force publishes updated list of deficient jurisdictions
  • Katten Muchin Rosenman LLP
  • Global
  • March 6 2015

On February 27, the Financial Action Task Force (FATF), which is an inter-governmental body established to set standards and promote effective


District court denies motion to dismiss securities class action against Urban Outfitters
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2015

The US District Court for the Eastern District of Pennsylvania recently denied a motion to dismiss filed by Urban Outfitters, Inc. and its senior


FINRA sanctions broker-dealer for failing adequately to monitor red flags regarding suspicious trading activity
  • Katten Muchin Rosenman LLP
  • USA
  • February 22 2015

Cobra Trading, Inc., a broker-dealer, agreed to pay a fine of US $150,000 to the Financial Industry Regulatory Authority to resolve a disciplinary


SDNY favors the SEC in Foreign Corrupt Practices Act action involving novel issues of statutory interpretation
  • Katten Muchin Rosenman LLP
  • USA
  • February 22 2013

In a case addressing an issue of first impression involving the Foreign Corrupt Practices Act (FCPA), the US District Court for the Southern District


SDNY finds lack of personal jurisdiction in Foreign Corrupt Practices Act claim
  • Katten Muchin Rosenman LLP
  • USA
  • February 22 2013

The US District Court for the Southern District of New York recently addressed whether the Foreign Corrupt Practices Act (FCPA) could reach a foreign


SEC sues individual for false tweets to manipulate prices of two stocks
  • Katten Muchin Rosenman LLP
  • USA
  • November 8 2015

The Securities and Exchange Commission filed an enforcement action in a federal court in California against James Craig, a Scottish national, for


CME enforcement actions penalize alleged wash trades and money transfers
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2015

Chicago Mercantile Exchange business conduct committees agreed to settlements with two individuals for allegedly engaging in prohibited wash trades