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Results: 1-10 of 1,827

SEC OCIE Discloses Common Deficiencies With Investment Advises’ Best Execution Obligations
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations issued a risk alert identifying


Commodity Pool Operator Charged With Fraud in CFTC and Criminal Actions; Also Charged Criminally With Attempting to Obstruct CFTC Investigation
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

A criminal indictment naming commodity pool operator Harris Landgarten was filed in a federal court in Brooklyn, New York, last week, charging the


Former Portfolio Manager’s Conviction for Insider Trading Again Upheld by Federal Appeals Court
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

A split three-judge panel of the federal appeals court in New York again upheld the September 2014 conviction of Mathew Martoma, a former portfolio


Commodity Merchandising Firm Agrees to Pay US $6.55 Million in Fines to CFTC and CBOT for Attempted Manipulation of Wheat Futures
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

Lansing Trade Group, LLC agreed to pay US $6.55 million in aggregate fines to the Commodity Futures Trading Commission and the Chicago Board of Trade


Whistleblower Receives US $30 Million Payment From CFTC - Largest Award to Date; SEC Proposed Updates to Its Whistleblower Rules
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

The Commodity Futures Trading Commission awarded its largest whistleblowing award to date - US $30 million - for providing key information that led to


FINRA Asks Members to Volunteer Information Regarding Crypto-Asset Activity
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

The Financial Industry Regulatory Authority asked all member firms voluntarily to notify their FINRA Regulatory Coordinator in writing if they, any of


CME Group Revises Disruptive Trading MRAN to Expressly Address Test Orders; IFUS Revises Crossing-Orders Protocol
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

CME Group amended its Market Regulation Advisory Notice regarding disruptive trading effective July 11 to add the entry


Four CME Clearing House Members Sanctioned for Setting Aside Insufficient Funds for Customers; CME Ends Emergency Suspension of Korean Broker to Access CME Group Markets
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

Four Chicago Mercantile Exchange clearing members agreed to pay fines of either US $100,000 or US $50,000


CFTC Issues Report on CME Agricultural Block Trades; Does Not Find Material Anomalies
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

The Commodity Futures Trading Commission’s Market Intelligence Branch issued a report analyzing block trades in the grains


SEC Resolves a Sundry of Enforcement Actions Alleging Failure to File SARs; Failure to Supervise Brokers Who Defrauded Customers; and Inappropriate Commission Splitting
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2018

Charles Schwab & Co., Inc. agreed to pay a fine of US $2.8 million to the Securities and Exchange Commission to resolve charges that, in 2012 and