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Results: 1-10 of 3,622

Proprietary Trading Firm Charged by CFTC With Spoofing Based Solely on the Alleged Wrongful Trading of Employee
  • Katten Muchin Rosenman LLP
  • USA
  • October 15 2017

The Commodity Futures Trading Commission and the Commodity Exchange, Inc. brought and resolved charges against Arab Global Commodities DMCC for


ESMA Updates MiFID II Q&A on Commodity Derivatives
  • Katten Muchin Rosenman LLP
  • USA
  • October 13 2017

On October 4, the European Securities and Markets Authority (ESMA) updated a question and answer document (Q&A) relating to commodity derivatives


Retail Metals Dealer Sued by CFTC for Not Fulfilling Delivery Obligations to Financed Customers Says Actual Delivery Was Made
  • Katten Muchin Rosenman LLP
  • USA
  • October 8 2017

Monex Deposit Company and two affiliated companies (collectively, "Monex") and Louis Cabrini and Michael Cabrini, the firms' principals, moved to


Update on MiFID II ESMA Opinions for Pre-Trade Transparency Waivers and Position Limits
  • Katten Muchin Rosenman LLP
  • USA
  • September 29 2017

On September 28, the European Securities and Markets Authority (ESMA) issued a press release (Press Release) that it and the national competent


Two Firms Settle With CME Group Exchanges for Not Supervising Employees Who Allegedly Engaged in Disruptive Trading Practices
  • Katten Muchin Rosenman LLP
  • USA
  • September 10 2017

Jaypee Singapore PTE LTD and Skeet Commodities DMCC both agreed to settle disciplinary actions brought by CME Group exchanges that they failed to


New FCA Web Page on Position Limits for Commodity Derivative Contracts Under MiFID II
  • Katten Muchin Rosenman LLP
  • USA
  • September 1 2017

On August 30, the UK Financial Conduct Authority (FCA) published a new web page on position limits for commodity derivative contracts under the


Non-US Commodity Firm Settles CFTC Allegations of Wash Trading for US $300,000 Fine
  • Katten Muchin Rosenman LLP
  • USA
  • August 20 2017

Copersucar Trading A.V.V., an Aruban corporation that engages in the import and export of sugar and related hedging activities, consented to a fine


FCA Updates Commodity Derivatives Website With Q&A
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 18 2017

On August 8, the UK Financial Conduct Authority (FCA) updated a section of its website relating to the treatment of commodity derivatives under the


CFTC Suspends Advance Notice Filing Requirement to Perfect Disaggregation Relief for Position Limit Calculation Purposes
  • Katten Muchin Rosenman LLP
  • USA
  • August 13 2017

The Division of Market Oversight of the Commodity Futures Trading Commission granted relief from a Commission regulation that requires certain


2017 Mid-Year Securities Litigation and Enforcement Highlights
  • Baker & Hostetler LLP
  • USA
  • July 31 2017

The purpose of this report is to provide a periodic survey - in addition to our Practice Team Executive Alerts - on matters we believe to be of