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Results: 1-10 of 712

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


CME Group Files and Settles Disciplinary Actions Alleging Layering, Impermissible Transitory EFRPs and a Transfer Trade
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Chicago Board of Trade and the Chicago Mercantile Exchange each brought and settled disciplinary actions against Fredrik Nielsen, a nonmember


Another Day, Another Large SEC Whistleblower Award; CFTC Proposes to Update Its Whistleblower Rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Securities and Exchange Commission awarded more than US $22 million to a whistleblower for voluntarily providing original information that


HK SFC Designates Four CCPs for OTC Clearing
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • September 11 2016

The Hong Kong Securities and Futures Commission designated four clearinghouses as authorized for market participants to fulfill their mandatory


FCA Launches New Website on MiFID II Market Data Processing
  • Katten Muchin Rosenman LLP
  • USA
  • September 9 2016

On September 5, the UK Financial Conduct Authority (FCA) launched a new webpage dedicated to market data reporting and the development of its new


CFTC Issues Comparability Determination for Japan Uncleared Swap Margin Rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 9 2016

On September 8, the Commodity Futures Trading Commission approved a comparability determination permitting substituted compliance with certain


FCA Trade Association Roundtable on MiFID II Implementation
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • September 2 2016

On August 31, the UK Financial Conduct Authority (FCA) published minutes from a roundtable (Roundtable) held on August 3 with trade associations. The


SEC Adopts Amendments to Rules on Access to Data Obtained by Security-Based Swap Data Repositories
  • Katten Muchin Rosenman LLP
  • USA
  • September 2 2016

On August 29, the Securities and Exchange Commission announced the adoption of amendments to the Securities Exchange Act of 1934 (Exchange Act) Rule