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Results: 11-20 of 582

Think tanks ask Supreme Court to clarify definition of “foreign official” in FCPA
  • Katten Muchin Rosenman LLP
  • USA
  • September 26 2014

Two think tanks, the Washington Legal Foundation and the Independence Institute, have filed an amicus brief in the Supreme Court on behalf of


SEC obtains asset freeze of Turks and Caicos company conducting Ponzi scheme
  • Katten Muchin Rosenman LLP
  • USA
  • September 26 2014

The Securities and Exchange Commission has obtained an emergency asset freeze of a Turks and Caicos company that allegedly ran a Ponzi scheme in


NFA notifies members of FinCEN advisory
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2013

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes


Concurrent resolution of FCPA, export controls and sanctions violations demonstrates close cooperation of federal agencies
  • Katten Muchin Rosenman LLP
  • USA
  • December 13 2013

On November 26, the Department of Justice (DOJ) and the Securities and Exchange Commission announced an agreement with three subsidiaries of Swiss


SEC announces record number of enforcement actions in FY 2014
  • Katten Muchin Rosenman LLP
  • USA
  • October 24 2014

Last week, the Securities and Exchange Commission provided a summary of its enforcement activities for its fiscal year 2014 (ending in September


SEC sanctions Athena in first high-frequency trading manipulation case
  • Katten Muchin Rosenman LLP
  • USA
  • October 24 2014

On October 16, in a groundbreaking trading manipulation case, the Securities and Exchange Commission entered an Order instituting a settled


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


FXDirectDealer fined US $500,000 by NFA for AML violations and failure to supervise
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2014

FXDirectDealer LLC and Joseph Botkier, its chief executive officer, agreed to settle an administrative complaint brought by the National Futures


Standard Chartered Bank agrees to pay NYS Department of Financial Services US $300 million for failing to fix AML problems
  • Katten Muchin Rosenman LLP
  • USA
  • September 1 2014

Standard Chartered Bank is required to pay a US $300 million fine as part of a settlement with the NY State Department of Financial Services (DFS


Previously unnamed middleman named in SEC insider trading suit; he allegedly ate material evidence
  • Katten Muchin Rosenman LLP
  • USA
  • September 21 2014

Remember my article a few months ago regarding the managing clerk at a highly regarded law firm who passed on insider tips to a stockbroker through