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Results: 1-10 of 524

Global Head of FX Cash-Trading Desk of Global Investment Bank Arrested for Front Running
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2016

Mark Johnson, former head of global foreign exchange cash trading at HSBC Bank, and Stuart Scott, former head of FX cash trading for HSBC for Europe


ESMA Fines Rating Agency For Breakdowns in Internal Controls
  • Katten Muchin Rosenman LLP
  • European Union
  • July 24 2016

The European Securities and Markets Authority fined Fitch Ratings Limited 1.38 million for a number of different breaches of its regulations


Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008 financial crisis, was


SEC Amends Rules of Practice for Administrative Proceedings to Make More Court-Like
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission approved amendments to the rules of practice for its administrative hearings to make them somewhat more


OCIE Begins IA Sweep to Detect Possible Conflict of Interest Related to Recommendations of Mutual Fund Shares Classes With High Charges
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced that, in upcoming audits, it would specifically


IFUS Files and Resolves Disciplinary Action Alleging Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2016

ICE Futures U.S. filed and settled charges against Cashcot Industries Pte. Ltd. and 1 Jain, a trader employed by Cashcot, for engaging in layering and


NYS Department of Financial Services Issues Transaction Monitoring and Filtering Requirements for State-Regulated Banks and Other Financial Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2016

The New York State Department of Financial Services issued final rules that require banks and certain other financial institutions it regulates to


ICE Futures Europe Revises Block Trade, EFRP and Other Policies to Conform to Market Abuse Regulation
  • Katten Muchin Rosenman LLP
  • European Union
  • July 10 2016

ICE Futures Europe has revised its guidances related to block trades, exchange for related position transactions and ICE Brent Index Conflicts of


CFTC Staff Reminds FCMs and IBs to Report Suspicious Activities Timely and All Registrants to Comply With OFAC Sanctions Programs
  • Katten Muchin Rosenman LLP
  • USA
  • July 10 2016

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued an advisory to remind futures commission


UK Publishes MAR Regulations Ahead of July 3 Deadline
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom
  • July 8 2016

On June 30, the Financial Services and Markets Act 2000 (Market Abuse) Regulations 2016 (Regulations) were published in the United Kingdom. The