We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 581

SEC to Broker-Dealer in Enforcement Action: Include Basis for Suspicions in Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The Securities and Exchange Commission filed an enforcement action against Alpine Securities Corporation, a registered broker-dealer, in a federal


Senior Brokerage Firm Officer Suspended by HK Regulator Six Months for Allegedly Failing to Stop Third Party Fund Transfers
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • June 4 2017

The HK Securities and Futures Commission suspended for six months Hui Lam Chiu, a former Guoyuan Securities Brokerage Limited responsible officer


CFTC Strengthens Protections for Whistle-Blowing While You Work
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The Commodity Futures Trading Commission amended its whistle-blowing rules to augment anti-retaliation protections for whistleblowers. Simultaneously


FINRA Resolves Charges Against Broker-Dealer for Inadequate Controls for Third-Party Payments From Customer Accounts; Hong Kong Regulator Sanctions Yet Another Broker for Similar Offense
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • April 16 2017

FSC Securities Corporation, a Securities and Exchange Commission-registered broker-dealer, agreed to pay a fine of US $200,000 to resolve a


Another Broker Sanctioned by HK SFC for AML Violations Related to Money Transfers Between Clients and Third Parties
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • April 9 2017

The Hong Kong Securities and Futures Commission fined Guoyuan Securities Brokerage (Hong Kong) Limited HK $4.5 million (approximately US $590,000


CME Settles With FCM for Failure to Timely Produce Documents; Other Exchange Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Wedbush Securities Inc. agreed to pay a fine of US $55,000 to resolve a disciplinary action brought by the Chicago Mercantile Exchange for failing to


Former FCM Traders Settle CFTC Charges They Engaged in Spoofing More Than 1,000 Times
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

The Commodity Futures Trading Commission resolved charges against Stephen Gola and Jonathan Brims, former associated persons of a futures commission


Malaysian National Sentenced by Singapore Court to 16 Weeks Imprisonment for Stock-Based Spoofing; PRC Resident Fined by China Regulator for Similar Conduct
  • Katten Muchin Rosenman LLP
  • Hong Kong, Malaysia
  • March 26 2017

Dennis Tey Thean Yang, a Malaysian national, was sentenced to 16 weeks imprisonment by a Singapore judge after he pleaded guilty to charges that he


Brokerage Firms Fined Almost US $2 Million by HK Regulator for Position Reporting and Electronic Trading Systems Breaches
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • March 26 2017

Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) were fined HK $15 million (approximately US $2 million) by the


Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial Industry Regulatory Authority for failing to consider