Cadwalader Wickersham & Taft LLP | USA | 5 Aug 2020
The New York Mercantile Exchange ("NYMEX"), a subsidiary of CME, settled CFTC charges for improper disclosures of customers' trading activity by two…
Katten Muchin Rosenman LLP | USA | 14 Apr 2019
CME Group exchanges proposed adoption of a new Market Regulation Advisory Notice to consolidate prior guidance related to all prohibited activities…
Katten Muchin Rosenman LLP | USA | 10 Mar 2019
Fourteen nonmembers were sanctioned by the Commodity Exchange, Inc. and the New York Mercantile Exchange for engaging in different trading violations…
Katten Muchin Rosenman LLP | USA | 10 Mar 2019
James McDonald, Director of Enforcement of the Commodity Futures Trading Commission, announced a new initiative aimed at encouraging non-CFTC…
Katten Muchin Rosenman LLP | USA | 10 Mar 2019
Two Weeks ago in the Compliance Weeds section addendum to the article, "Government Argues New Trial for Convicted Spoofer Not Justified by Data…
Katten Muchin Rosenman LLP | USA | 6 Jan 2019
The Chicago Board of Trade brought and settled Disciplinary actions against Ajax Trading, LLC and one of its trader agents for allegedly engaging in…
Katten Muchin Rosenman LLP | USA | 16 Dec 2018
CME Group exchanges sanctioned two non-members for engaging in transactions during pre-opening sessions that allegedly were not made for the purpose…
Katten Muchin Rosenman LLP | USA | 2 Dec 2018
The Securities and Exchange Commission’s view that most cryptoassets issued as part of initial coin offerings and presales to ICOs are securities was…
Katten Muchin Rosenman LLP | USA | 2 Dec 2018
CME Group exchanges brought and settled multiple Disciplinary actions alleging disruptive practices, wash trades, and position limit violations…
Katten Muchin Rosenman LLP | USA | 11 Nov 2018
Three former futures traders pleaded guilty to commodities fraud and spoofing violations for trading activities on CME Group exchanges. Krishna Mohan…