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Results: 1-10 of 2,833

Canada Proposes Commodity Pool Regulation Update
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • September 25 2016

The Canadian Securities Administrators proposed amendments to existing rules that would move most of the existing Canadian regulatory framework


Hedge Fund Icon Sued by SEC for Alleged Insider Trading
  • Katten Muchin Rosenman LLP
  • USA
  • September 25 2016

The Securities and Exchange Commission filed a lawsuit against Leon Cooperman, the president, Chief Executive Officer and majority shareholder of


Audit Firm Agrees to Two Fines Totaling $9.3 Million for Two Partners’ Cozy Relationship With Audit Client Contacts
  • Katten Muchin Rosenman LLP
  • USA
  • September 25 2016

Ernst & Young agreed to pay fines totaling US $9.34 million to resolve charges that two of its partners maintained personal relationships with their


SFC in Hong Kong Warns of Impending AML Enforcement Proceedings; Urges Brokerage Firms to Enhance Internal Controls
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 25 2016

The Hong Kong Securities and Futures Commission advised that it is currently investigating "a number of cases" of SFC licensed brokerage companies


CFTC To Host Roundtable on Recent CPMI-IOSCO Guidance
  • Katten Muchin Rosenman LLP
  • Global, USA
  • September 23 2016

The Commodity Futures Trading Commission will host a roundtable on October 6 to gather feedback in relation to a report on central counterparty


International Bank Fined by HK Regulator for Position Limit Breaches in Futures and Options
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • September 18 2016

The Hong Kong Securities and Futures Commission fined The Hong Kong and Shanghai Banking Corporation Limited the equivalent of approximately US $325


Australia-Regulated Trading Facility Authorized to Permit US Persons to Trade Swaps Without SEF Registration
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Two divisions of the Commodity Futures Trading Commission granted no-action relief to Yieldbroker Pty Limited, an Australia-based swap multilateral


SEC Soon to Seek Public Input on Disruptive Trading Practices
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Mary Jo White, Chair of the Securities and Exchange Commission, indicated last week that staff is currently developing a rule proposal "designed to


Banking Regulators Issue Dodd-Frank Report on Bank Activities and Investments
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2016

On September 8, the Board of Governors of the Federal Reserve System (Board), the Federal Deposit Insurance Corporation (FDIC), and Office of the


SEC Chair Gives Speech on Equity Market Structure
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2016

On September 14, Securities and Exchange Commission Chair Mary Jo White gave a speech titled "Equity Market Structure in 2016 and for the Future" at