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CME Group Increases Offenses Potentially Subject to Summary Fines
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

CME Group updated its list of infractions for which the chief regulatory officer or designee may summarily issue a fine without a hearing. Fines may


Over One Commissioner’s Vehement Dissent, CFTC Authorizes Publication for Comment Proposed Rules to Overhaul Swaps Trade Execution Requirements on Trading Facilities
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

The Commodity Futures Trading Commission proposed by a vote of four commissioners to one to modify swap trading requirements on swap execution


Bridging the Week by Gary DeWaal: November 5 - 9 and November 12, 2018 (To Tell the Truth; Smart Contracts; Swaps Trade Execution Requirements)
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

A swap dealer was fined US $12 million by the Commodity Futures Trading Commission for a host of purported noncompliance issues. It was also


Related Dark Pools Resolve SEC Charges They Improperly Disclosed Subscribers’ Confidential Information by Agreeing to US $12 Million Fine
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

The Securities and Exchange Commission charged ITG Inc. and AlterNet securities, its affiliate, with not adequately protecting the confidential


Ex-Bank Trader Fined US $350,000 and Banned From All CFTC Overseen Markets for Allegedly Concealing Swaps Trading Losses; Bank That Self-Reported, Cooperated and Remediated Receives Letter Closing Investigation
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

Jacob Bourne, the former head of the inflation trading desk at Deutsche Bank, was fined US $350,000 for purportedly mismarking his swap trading


Bank Sanctioned More Than US $38 Million by SEC for Role in Pre-Releasing ADRs to Unqualified Parties
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

Citibank, N.A. agreed to pay a fine and disgorgement in excess of US $37 million to resolve Securities and Commission charges that, from August 2011


Autonomous Doesn't Necessarily Mean Non-Regulated Says SEC in Fining Founder of Securities Cryptoasset Exchange Powered By Automated Smart Contract
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

The Securities and Exchange Commission brought and settled charges against Zachary Coburn for enabling EtherDelta, an online platform that allows


Three Traders Plead Guilty to Spoofing Violations
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

Three former futures traders pleaded guilty to commodities fraud and spoofing violations for trading activities on CME Group exchanges. Krishna Mohan


Swap Dealer Agrees to Pay US $12 Million to CFTC for Noncompliance With Multiple Regulatory Requirements and Allegedly Filing Misleading Annual Compliance Reports
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

Swap Dealer Agrees to Pay US $12 Million to CFTC for Noncompliance With Multiple Regulatory Requirements and Allegedly Filing Misleading Annual


OFAC Issues New Iran-Related FAQs
  • Katten Muchin Rosenman LLP
  • USA
  • November 11 2018

In connection with its re-imposed sanctions on Iran, the United States Department of Treasury's Office of Financial Assets Control added over 700