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CFTC Staff Gives OK for US FCM to Post Customer Securities to a UK Individual Segregated Account
  • Katten Muchin Rosenman LLP
  • USA, United Kingdom
  • April 16 2017

The Division of Swap Dealer and Intermediary Oversight authorized an US-based futures commission merchant to post customer-owned securities with its


ESMA Raises Concerns to EC Regarding Systematic Internalizers Operating Broker-Crossing Networks
  • Katten Muchin Rosenman LLP
  • European Union
  • February 27 2017

The European Securities and Markets Authority wrote a letter to the European Commission to note its concern that certain investment firms currently


SEC Division of Investment Management Issues Guidance Regarding Robo-Advisers
  • Katten Muchin Rosenman LLP
  • USA
  • February 27 2017

The Securities and Exchange Commission's Division of Investment Management issued guidance regarding best practices investment advisers should follow


Australian Regulator Sanctions Broker for Engaging in Pre-Negotiated Futures Transactions With Client Without Requisite Time Delay
  • Katten Muchin Rosenman LLP
  • USA, Australia
  • February 27 2017

The Australian Securities & Investment Commission fined BGC Partners (Australia) Pty Limited Aus $90,000 (approximately US $69,000) for failure to


Investment Adviser Settles Charges Related to Overcharging Clients and Misplacing Client Contracts
  • Katten Muchin Rosenman LLP
  • USA
  • January 30 2017

Citigroup Global Markets, Inc., a registered broker-dealer and investment adviser, agreed to pay total sanctions of US $18.3 million as well as


Minimum Security Deposit for British Pound Retail Forex Transactions Increased by NFA for Forex Dealer Members
  • Katten Muchin Rosenman LLP
  • USA
  • November 6 2016

In light of market volatility, the National Futures Association increased the minimum security deposit that Forex Dealing Members must assess their


Hedge Fund Icon Sued by SEC for Alleged Insider Trading
  • Katten Muchin Rosenman LLP
  • USA
  • September 25 2016

The Securities and Exchange Commission filed a lawsuit against Leon Cooperman, the president, Chief Executive Officer and majority shareholder of


Multiple Investment Advisers Sanctioned for Passing Along False Performance Claims of Another Adviser
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2016

Thirteen investment advisers settled charges brought by the Securities and Exchange Commission for fines of between US $100,000 and US $500,000, for


Investment Bank Agrees to FINRA Settlement for Internal Hoots That Allegedly Risked Leakage of Confidential Information
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

Deutsche Bank Securities Inc. agreed to pay a fine of US $12.5 million to the Financial Industry Regulatory Authority to settle charges that the firm


OCIE Begins IA Sweep to Detect Possible Conflict of Interest Related to Recommendations of Mutual Fund Shares Classes With High Charges
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced that, in upcoming audits, it would specifically