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Brokerage Firm Fined HK $2 Million (US $257,000) by HK SFC for Under-Segregating Client Funds
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 19 2017

The Hong Kong Securities and Futures Commission fined DBS Vickers (Hong Kong) Limited HK $2 million (US $257,000) for not segregating customer funds


HK SFC Sanctions Second Brokerage Company for Third-Party Deposits and Individual Manager at a Previously Fined Broker
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 19 2017

Zhongtai International Securities Limited was fined HK $2.6 million (US $335,000) for not having appropriate internal procedures to detect and report


US Broker-Dealer, Its CEO and a Non-US Client Sued by SEC for Layering and Other Manipulative Schemes
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

Lek Securities Corporation ("LEK"), a US-registered broker-dealer and Samuel Lek, its 70 percent owner and chief executive officer, were sued by the


HK SFC Sanctions Securities and Futures Broker for AML Breaches in Handling Third-Party Payments
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • March 12 2017

The Hong Kong Securities and Futures Commission fined Guangdong Securities HK $3 million (US $386,000) for failing to comply with anti-money


IOSCO Publishes State of FinTech Overview
  • Katten Muchin Rosenman LLP
  • Global, USA
  • February 12 2017

The International Organization of Securities Commissions issued a report on developing financial technologies, including financing platforms, retail


SEC OCIE Provides Top Five List of Most-Identified Compliance Topics During Investment Adviser Examinations
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations published a Risk Alert that set forth the five topics that


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


CME Group Implements Some New Offenses and Makes Technical Amendments to Globex Access Restrictions Rule
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

CME Group amended its General Offenses rule (click here to access CME Group Rule 432) for each of its designated contract markets and the Swap


SEC Files Charges Against Broker-Dealer and Chief AML Officer for Failure to File Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2017

The Securities and Exchange Commission filed an administrative proceeding against Windsor Street Capital, L.P., a registered broker-dealer (formerly


Alleged Improper ADR Handling Results in SEC Charges and Settlement
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

ITG Inc. agreed to pay a fine and disgorgement totaling US $24.4 million to settle charges brought by the Securities and Exchange Commission that it