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HK Regulator Sanctions Retail FX Dealer for Not Disclosing Slippage Handling Procedures That Harmed Investors
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • February 12 2017

The Hong Kong Securities and Futures Commission fined GMO-Z.com Forex HK Limited HK $1.6 million (approximately US $206,000) for failing to disclose


CPO and Owner Sanctioned by CFTC for Violations of Law and Rules
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • February 12 2017

John Oden and Oden Capital Management settled charges brought by the Commodity Futures Trading Commission that they operated commodity pools contrary


CFTC Staff Grants Six-Month Delay for Firms to File Mandatory Disaggregation Notices
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2017

The Commodity Futures Trading Commission's Division of Market Oversight issued a no-action letter extending for six months the time persons eligible


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


Broker-Dealer Agrees to FINRA Sanction for Miscalculating Rates of Margin Loans to Customers
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Edward Jones, a broker-dealer registered with the Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority


CME Group Implements Some New Offenses and Makes Technical Amendments to Globex Access Restrictions Rule
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

CME Group amended its General Offenses rule (click here to access CME Group Rule 432) for each of its designated contract markets and the Swap


CFTC Staff Authorizes Swap Dealers to Comply With EU Uncleared Swaps Margin Rules When Dealing With EU Counterparties in Lieu of US Rules for Interim Period
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • February 5 2017

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight authorized certain registered Swap Dealers engaging in


More Firms Sanctioned For Whistleblower Offenses by SEC
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2017

The Securities and Exchange Commission brought and settled two enforcement actions against publicly traded companies for including in at least some


Regulatory Freeze Memorandum To Have Minimal Impact on Structured Finance Industry
  • Katten Muchin Rosenman LLP
  • USA
  • January 25 2017

On January 20, the Trump administration issued a memorandum instructing all executive departments and agencies to freeze the review and final


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to