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Results: 1-10 of 418

FinCEN proposes new anti-money laundering rules for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 31 2015

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the US Department of the Treasury, released proposed rules that


Appellate court rules plaintiff cannot challenge SEC forum choice in federal court at this time
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

A federal appellate court in Illinois ruled that Laurie Bebo, who is currently awaiting an initial decision from an administrative law judge in


Flash Boys-inspired litigation dismissed by federal judge
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

A federal court in New York City dismissed five lawsuits against multiple stock exchanges, Barclays PLC and Barclays Capital Inc., all echoing claims


Sentinel principal ordered to pay more than US $2 million by federal court
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

A federal court in Illinois entered an order of permanent injunction and sanctions of over $2.1 million against Charles Mosley for his role in the


FinCEN proposes AML and SAR requirements for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

The Financial Crimes Enforcement Network proposed rules requiring Securities and Exchange Commission-registered investment advisers to establish


IFUS sanctions West Oaks Energy over US $415,000 for position limit violations; other firms fined for pre-execution communication, block trades and EFRP Rule infractions
  • Katten Muchin Rosenman LLP
  • USA
  • August 30 2015

West Oaks Energy agreed to pay a fine of almost US $248,000 and disgorgement of almost $168,000 to resolve allegations by ICE Futures U.S. that it


Anti-money laundering program and suspicious activity report filing for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking that would require registered investment advisers to


CCO liability
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In response to the article two weeks ago entitled "One CCO Sanctioned, Another Not, in SEC Enforcement Actions" (click here to access), Felix


Student internships result in bank’s settlement with SEC over alleged FCPA violations
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Bank of New York Mellon Corporation agreed to pay sanctions of almost US $15 million to resolve allegations by the Securities and Exchange


Barbara Duka obtains preliminary injunction against SEC prosecuting her in an administrative tribunal
  • Katten Muchin Rosenman LLP
  • USA
  • August 16 2015

The US federal judge in New York who two weeks ago reserved judgment regarding Barbara Duka's efforts to enjoin the Securities and Exchange