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SEC To Award More Than US $5 Million to Whistleblower
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

An unnamed whistleblower will receive an award of between US $5 and $6 million because of information voluntarily provided to the Securities and


European Commission Adopts MiFIR Delegated Act
  • Katten Muchin Rosenman LLP
  • European Union
  • May 20 2016

On May 18, the European Commission (EC) adopted a delegated act to supplement the Markets in Financial Instruments Regulation (MiFIR). The delegated


CFTC Issues Residual Interest Deadline Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 13, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) issued the Residual Interest Deadline


PRA Publishes Meeting Minutes With Notes on the Application of Best Execution to FX Derivatives and FX Spot Transactions
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 20 2016

On May 16, the UK Prudential Regulation Authority published the minutes (Minutes) of a Foreign Exchange Joint Standing Committee meeting held on


Alleged Spoofer in CFTC Enforcement Action Claims Relevant Statute and Regulation Unconstitutionally Vague
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The trader and his company subject to an enforcement action by the Commodity Futures Trading Commission in a federal court in Chicago for alleged


Ontario and Quebec Publish Final Rules to Enhance OTC Swaps Trading Transparency
  • Katten Muchin Rosenman LLP
  • Canada
  • May 15 2016

Both the Autorité des Marchés Financiers of Quebec and the Ontario Securities Commission published final amendments to rules aimed at increasing


Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures Trading Commission, and Salvatore Russo, its


IOSCO Cautions on Regulatory Gaps of Storage Infrastructures for Exchange-Traded Physically Delivered Commodity Derivatives
  • Katten Muchin Rosenman LLP
  • Global
  • May 15 2016

The International Organization of Securities Commissions issued a report on the impact of delivery infrastructures (e.g., warehouses) on market


FCA Conduct Forum on MiFID II Implementation
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • May 13 2016

On May 10, the Financial Conduct Authority (FCA) published minutes of a conduct forum (Forum) held with trade associations to discuss the


ESMA Publishes Final Report to Amend MiFIR RTS on Transaction Reporting
  • Katten Muchin Rosenman LLP
  • European Union
  • May 13 2016

On May 4, the European Securities and Markets Authority (ESMA) published a final report (Final Report) setting out an amendment to the draft Markets