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Article

Katten Muchin Rosenman LLP | USA | 23 Jun 2019

Global AML Standards Setter Says Countries Should Require Virtual Asset Service Providers to Obtain and Transmit Certain Information Regarding Senders and Recipients for All Virtual Asset Transfers

Last week the Financial Action Task Force issued new guidance for countries and regional organizations to help assess and control potential money

Article

Katten Muchin Rosenman LLP | United Kingdom | 23 Jun 2019

UK Regulator Fines UK Bank £45.5 Million for Failing to Disclose Suspicions of Fraud

The Financial Conduct Authority fined the Bank of Scotland plc ("BOS") £45.5 million for not telling its predecessor regulator, the Financial

Article

Katten Muchin Rosenman LLP | USA | 21 Jun 2019

NFA Issues Notice of Annual Surcharge to Certain Member Firms

On June 20, the National Futures Association (NFA) issued Notice to Members I-19-15 (Notice), announcing the approval of a $1,750 annual surcharge

Article

Katten Muchin Rosenman LLP | USA | 16 Jun 2019

Happiness for All Not Likely From CFTC Revised Position Limits Proposal Warns Commissioner Stump

Commodity Futures Trading Commissioner Dawn Stump warned that she does not expect "everybody will be happy" with a revised positions limit proposal

Article

Katten Muchin Rosenman LLP | USA | 16 Jun 2019

Thunder and Lightning at the CFTC - Commissioner Behnam Leads Discussion of Climate-Related Financial Market Risk

A meeting of the Commodity Futures Trading Commission's Market Risk Advisory Committee was held on June 12 that addressed climate-related financial

Article

Katten Muchin Rosenman LLP | USA | 14 Jun 2019

NFA Amends Swaps Supervision Requirements and Makes Technical Changes to NFA Rules and Interpretive Notices

On June 12, the National Futures Association (NFA) amended several of its rules and interpretive notices to incorporate expressly supervision

Article

Katten Muchin Rosenman LLP | USA | 9 Jun 2019

Where’s the CFTC v. Agricultural Food Giants’ Purported Manipulation Settlement?

Previously it was disclosed that Kraft Foods Group, Inc. and Mondelez Global LLC entered into a "binding agreement" with the Commodity Futures

Article

Katten Muchin Rosenman LLP | USA | 9 Jun 2019

Misusing Client Block Trades’ Information and Phone Recording Breakdown Result in NFA Sanctions Against Multiple Parties

Classic Energy LLC, an introducing broker registered with the Commodity Futures Trading Commission and a member of the National Futures Association

Article

Katten Muchin Rosenman LLP | USA | 9 Jun 2019

FCM Prevails in Federal Court to Have Customer Dispute Heard Before NFA, Not FINRA Arbitration Forum

INTL FCStone Financial Inc., a Commodity Futures Trading Commission-registered Futures Commission merchant, prevailed in a motion before a US federal

Article

Katten Muchin Rosenman LLP | USA | 9 Jun 2019

LME Follows IFUS Lead With Futures Trading Speed Bumps

Last month, the Commodity Futures Trading Commission declined to preclude ICE Futures U.S. from adopting a rule amendment authorizing it to implement

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