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Hedge Fund Icon Settles SEC Insider Trading Allegations
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

Hedge fund icon Leon Cooperman and his firm, Omega Advisors, a registered investment adviser, agreed to resolve charges by the Securities and


CFTC Launches LabCFTC as Major FinTech Initiative
  • Katten Muchin Rosenman LLP
  • USA
  • May 19 2017

On May 17, the Commodity Futures Trading Commission announced the creation of LabCFTC, a new initiative aimed at promoting responsible FinTech


ICE Futures U.S. Settles Disciplinary Actions Against Three Respondents For Alleged Block Trade Violations For US $325,000 Combined Fine
  • Katten Muchin Rosenman LLP
  • USA
  • May 14 2017

ICE Futures U.S. settled two related disciplinary actions against three persons for alleged violations of its block trading and other rules for an


Ex-SEC Employee Pleads Guilty to Lying About Trading Securities
  • Katten Muchin Rosenman LLP
  • USA
  • May 14 2017

On May 9, David Humphrey, a former branch chief in the Securities and Exchange Commission's Division of Corporate Finance, pleaded guilty to charges


EC Proposes Amendments to EMIR to Improve Functioning of EU Derivatives Markets
  • Katten Muchin Rosenman LLP
  • European Union
  • May 7 2017

The European Commission proposed some amendments to the European Market Infrastructure Regulation to reduce costs and regulatory burdens to market


CFTC Recommends Amendments to CCO Obligations and Annual Reports
  • Katten Muchin Rosenman LLP
  • USA
  • May 7 2017

The Commodity Futures Trading Commission proposed amendments to the enumerated duties for chief compliance officers of futures commission merchants


Jay Clayton Sworn In as New SEC Chairperson; CFTC Asks to Be KISSed and Told How to Apply Rules More Efficiently
  • Katten Muchin Rosenman LLP
  • USA
  • May 7 2017

Jay Clayton was sworn in as chairman of the Securities and Exchange Commission last Thursday. He was nominated as chairman by President Donald Trump


CPO Fined US $1 Million for Making Prohibited Loans and Advances to CEO From Funds’ Assets
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • May 7 2017

Duet Asset Management Ltd., a Commodity Futures Trading Commission-registered commodity pool operator, agreed to pay a fine of US $1 million to the


European Commission Proposes Reforms to EMIR
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • May 5 2017

On May 4, the European Commission (EC) proposed reforms (Proposal) to the European Market Infrastructure Regulation (EMIR). The Proposal aims to


CFTC Proposes Amendments to Certain Rules Governing CCO Duties and Annual Reports
  • Katten Muchin Rosenman LLP
  • USA
  • May 5 2017

On May 3, the Commodity Futures Trading Commission announced proposed rules amending its regulations regarding certain duties of chief compliance