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Katten Muchin Rosenman LLP


SEC Watchdog Finds Cybersecurity Policies Better But Not Always Enforced

USA - August 13 2017 The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued a report saying that firms have "increased

SEC Concludes Dodd-Frank Impact on Primary Issuance and Secondary Market Liquidity Has Been Mixed

USA - August 13 2017 The Securities and Exchange Commission's Division of Economic and Risk Analysis concluded that implementation of the Dodd-Frank Wall Street Reform

ESMA Agrees to First Position Limits Under MiFID II for Three Contracts

European Union - August 13 2017 The European Securities and Markets Authority consented to the first three proposed position limits under the Markets in Financial Instruments

CME and CBOT Settle Disciplinary Actions for Alleged Position Limits Violations and Spoofing

USA - August 13 2017 Two disciplinary actions involving allegations of disruptive trading were settled by nonmembers of CME Group exchanges. In one action, Andrew Akins

Federal Court Rejects CFTC Request for Permanent Trading Ban Against Energy Trader Who Falsely Altered Employer’s Records

USA - August 13 2017 A federal court in New York City denied a request by the Commodity Futures Trading Commission to permanently bar Fan Wang, a former energy trader

Federal Appeals Court Rules in Favor of FCM Seeking Return of Customer Assets From Sentinel Management Ruins

USA - August 20 2017 The US Court of Appeals sitting in Chicago ruled that FCStone, LLC and other customers who initially posted funds in a segregated customer account at

Banking Regulators Give Capital Break for Cleared Derivatives

USA - August 20 2017 Three US banking regulators determined that banks could avoid severe capital charges when entering into cleared derivatives transactions by treating

Investment Adviser CCO Fined and Suspended for One Year for Firm’s Alleged Misleading Registration Filing

USA - August 20 2017 To resolve an enforcement action by the Securities and Exchange Commission, David Osunkwo, a principal of the consulting firm SC Consulting and

Non-US Commodity Firm Settles CFTC Allegations of Wash Trading for US $300,000 Fine

USA - August 20 2017 Copersucar Trading A.V.V., an Aruban corporation that engages in the import and export of sugar and related hedging activities, consented to a fine

Model State Law Regarding Virtual Currency Businesses Virtually Finalized

USA - August 20 2017 In mid-July a model law for the regulation of virtual currency businesses was adopted by the National Conference of Commissioners on Uniform State