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Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Health Net, Inc., a formerly publicly traded company whose securities were registered with the Securities and Exchange Commission until earlier this


NFA Updates Self-Examination Questionnaire for Registrants
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The National Futures Association issued a revised Self-Examination Questionnaire for its members. Revisions address the use of foreign exchange


CFTC Staff Issue Another Report but Commission Takes No Action Regarding Swap Dealer De Minimis Threshold
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Staff of the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued a final report evaluating the CFTC's


Swap Dealer Sued in Federal Court by CFTC for Recidivist Reporting Violations; Acknowledges Bank’s Cooperation
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed charges in federal court against Deutsche Bank AG, a registered swap dealer, for its alleged failure


Retail FX Dealer Charged by CFTC With Not Meeting Minimum Capital Requirements and Guaranteeing Customers Against Losses
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed a civil complaint against Forex Capital Markets, LLC for being undercapitalized by approximately US


Et Tu, CFTC? CFTC Follows SEC in Restricting Registration of Former Hedge Fund Operator Chairman
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission issued a Notice of Intent and a simultaneous Opinion and Order that prohibits Steven A. Cohen from engaging


Four CME Group Traders Fail to Answer Charges and Have Default Judgments Entered Against Them for Prohibited Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Four unrelated CME Group traders failed to respond to CME Group disciplinary actions and were sanctioned for various offenses, including trading


CPMI and IOSCO Publish Report on CCP Resiliency Planning
  • Katten Muchin Rosenman LLP
  • USA, Global
  • August 19 2016

The Committee on Payments and Market Infrastructures (CPMI) and the Board of the International Organization of Securities Commissions (IOSCO


CFTC Releases Swap Dealer De Minimis Exception Report
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2016

On August 15, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (Division) published the Swap Dealer De


NFA Updates Self-Examination Questionnaire
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2016

On August 15, National Futures Association issued a series of updates to its Self-Examination Questionnaire, which all NFA members must complete