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Lexology PRO | Asia-Pacific, European Union, Global, etc. | 27 Sep 2021

How futures exchanges can minimise risk for commodities traders

Errol Bong, head of compliance & legal counsel at Noble Group, highlights how regulated trading platforms can help manage credit, regulatory and legal risk.Noble Group is a commodities trading platform headquartered in Hong Kong.Interview conducted by Samantha Gilbert, Senior Content Editor for Lexology PRO.
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Lexology PRO | Asia-Pacific, Belgium, European Union, etc. | 28 May 2021

EU readopts ICAP cartel decision but cuts fine

The European Commission has readopted its decision against ICAP for its alleged role in a conspiracy to manipulate the market for yen interest rate derivatives but slashed the fine it imposed on the broker by €8 million.
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SEC Actions | USA | 13 Apr 2020

The First OCIE Inspection of Brokers Re Reg Best Interest

Regulation Best Interest, born of a long debate over the appropriate standard to govern recommendations by broker-dealers, is now the subject of an…
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Morrison & Foerster LLP | USA | 8 Apr 2019

MoFo New York Tax Insights

As we went to press, the New York State Legislature passed the New York State Budget Bill for 2019-20, containing several new and important tax…
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Katten Muchin Rosenman LLP | USA | 30 Sep 2018

IB and Owners Resolve CFTC Charges for Unauthorized Trading by Former Employee

Kooima & Kaemingk Commodities, Inc., an introducing broker registered with the Commodity Futures Trading Commission, and two of its co-owners…
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Katten Muchin Rosenman LLP | USA | 30 Sep 2018

Introducing Broker and Associated Person Charged by CFTC With Insider Trading

The Commodity Futures Trading Commission filed a lawsuit against EOX Holdings LLC, a Commission-registered introducing broker, and one of its…
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Katten Muchin Rosenman LLP | USA | 23 Sep 2018

Introducing Broker and Principal Sanctioned by CFTC for Not Overseeing Unlawful Post-Trade Allocations of CTA Client

Global Access Advisors, LLC, an introducing broker, was subject to enforcement actions by both the Commodity Futures Trading Commission and the…
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Katten Muchin Rosenman LLP | USA | 5 Aug 2018

CFTC and NFA Sanction FCM for Handling of Post-Trade Allocations by Trading Manager

R.J. O’Brien & Associates LLC - a Commodity Futures Trading Commission-registered Futures Commission merchant - agreed to pay US $750,000 in fines to…
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Katten Muchin Rosenman LLP | USA | 15 Jul 2018

Commodity Merchandising Firm Agrees to Pay US $6.55 Million in Fines to CFTC and CBOT for Attempted Manipulation of Wheat Futures

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…
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Katten Muchin Rosenman LLP | USA | 5 Jun 2018

NFA Warns FCMs and IBs About Not Complying With AML Requirements

The National Futures Association reminded Futures Commission merchants and introducing brokers to comply with their anti-money laundering requirements…
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