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9,114 results found

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

CME Member Sanctioned for Orchestrating Wash Trades and Misallocating Trades to Avoid Margin Requirements

Howard Stark, a member of the Chicago Mercantile Exchange, was fined US $90,000 and permanently barred from being a member or accessing for trading

Article

Katten Muchin Rosenman LLP | USA | 16 Jun 2019

Broker-Dealer AML Manual Promised a Lot, Actual Practices Delivered Too Little Says FINRA in Enforcement Settlement

Spencer Edwards, Inc. - a former Securities and Exchange Commission-registered broker-dealer and former member of the Financial Industry Regulatory

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 | 16 Jun 2019

Ex-FINRA Member Employee Sanctioned for Not Disclosing Personal Cryptocurrency Business Activities to Employer

Kyung Soo Kim, an ex-General Securities Representative associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated, agreed to pay the

Article

Katten Muchin Rosenman LLP | USA | 16 Jun 2019

NFA Announces September 30 Effective Date for New Supervisory Requirements for Members’ Swap Activities

The recently proposed rule amendment by the National Futures Association extending the supervisory obligations of futures commission merchants

Article

Katten Muchin Rosenman LLP | USA, European Union | 14 Jun 2019

ESMA Updates AIFMD and UCITS Q&As

On June 4, the European Securities and Markets Authority (ESMA) announced that it had published an updated version of each of its questions and

Article

Katten Muchin Rosenman LLP | United Kingdom, European Union | 14 Jun 2019

FCA Confirms Extension of Temporary Permissions Regime to October 30

On May 24, the UK Financial Conduct Authority (FCA) published a press release confirming that it is extending the deadline for notifications for the

Article

Katten Muchin Rosenman LLP | Global | 14 Jun 2019

IOSCO Consults on Regulating Crypto-Asset Trading Platforms

On May 28, the International Organization of Securities Commissions (IOSCO) published a consultation paper on regulating crypto-asset trading

Article

Katten Muchin Rosenman LLP | European Union | 14 Jun 2019

EMIR REFIT Published in the Official Journal of the European Union

On May 28, the regulation amending the European Market Infrastructure Regulation (EMIR), or EMIR REFIT, was published in the Official Journal of the

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