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Floor Broker and Former Floor Broker Settle CME Disciplinary Action Alleging Pre-Execution Arrangement of Customer Fill
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Oral Valentin, Jr., a former Commodity Futures Trading Commission-registered floor broker, agreed to pay a fine of US $35,000 and serve a 10-day CME


Commentators Generally Supportive of CFTC’s Proposed Record Retention Amendments
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Comments received by the Commodity Futures Trading Commission by the close of its comment period to its recent proposal to revise its record


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


SEC Chairman Nominee Urges Making US Capital Markets Great Again
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

During testimony before the Senate Committee on Banking, Housing and Urban Affairs last week, Jay Clayton - nominated by President Donald Trump to


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


CME Group Settles Disciplinary Action Alleging That Automatic Liquidation of Under-Margined Customers’ Positions By Non-US Futures Broker Constituted Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • March 20 2017

CME Group announced today that Saxo Bank AS, a member firm, agreed to pay an aggregate fine of US $190,000 to the Chicago Board of Trade and the


CFTC Chairman Nominee Warns of Tough Love to Come: KISS But Also Aggressive and Assertive Enforcement:
  • Katten Muchin Rosenman LLP
  • USA
  • March 19 2017

In a speech last week before an assembly of industry executives at FIA's annual Boca Raton conference, J. Christopher Giancarlo, nominee to be


ICE Europe Reminds Members and Participants of Revised Large Trader Reporting Requirements Effective March 27
  • Katten Muchin Rosenman LLP
  • European Union
  • March 13 2017

ICE Futures Europe reminded its members that they and market participant must be in full compliance with its ownership and control requirements by


CBOE Futures Privilege Holders Resolve Disciplinary Actions
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

CBOE Futures Exchange brought two actions in November 2016 against trading privilege holders who allegedly placed orders in the CBOE Volatility Index


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