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Results:1-10 of 8,789

NFA Proposes Internal Controls Framework to Enhance Supervision
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

The National Futures Association proposed an interpretive notice to provide commodity pool operators with guidance to design and implement adequate


FINRA Highlights Top Examination Findings for 2018
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

The Financial Industry Regulatory Authority published its 2018 annual report setting forth observations from recent Examinations and pointing out


CME Group Exchanges Fine Non-Members for Disruptive Trading That Does Not Involve Layering
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

CME Group exchanges sanctioned two non-members for engaging in transactions during pre-opening sessions that allegedly were not made for the purpose


Undetected Coding Errors Lead to More Than US $6 Million in SEC Fines for Three Broker-Dealers for Blue Sheet Reporting Violations
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

The Securities and Exchange Commission levied cumulative fines in excess of US $6 million against three registered broker-dealers for their failure


Authority of Broker-Dealers to Rely on Investment Advisers for Their Own CIP Obligations Extended by SEC
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

The Division of Trading and Markets of the Securities and Exchange Commission extended the authority of broker-dealers to rely on investment advisers


BIS Economists Argue that CCP - Bank Interactions May Lead to Destabilizing Feedback Loop Under Certain Stress Scenarios
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

Three economists from the Bank of International Settlements argued in a paper published on December 16 that interdependencies between central


SEC OCIE Reminds IAs of Obligations Regarding Electronic Messaging
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations provided guidance to investment advisers on best practices


CFTC Seeks to Fuel Up Its Knowledge of Ether
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2018

The Commodity Futures Trading Commission issued a Request for Input to help it better understand the virtual currency ether (ETH) in anticipation of


CFTC Issues Request for Input on Crypto-Assets
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2018

As part of its LabCFTC initiative, the Commodity Futures Trading Commission issued a Request for Input (RFI) to deepen the CFTC’s understanding of


FCA Publishes Consultation Paper on Product Intervention Measures for Retail Binary Options
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • December 14 2018

On December 7, the UK Financial Conduct Authority (FCA) published a consultation paper on product intervention measures for retail binary options