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Results: 1-10 of 21

Australian Brokerage Firm Fined AU $505,000 for Not Halting Suspicious Trades or Filing Suspicious Activity Report
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • June 25 2017

Macquarie Securities (Australia) Limited agreed to pay a fine of AU $505,000 (US $382,629) to resolve charges by the Australian Securities and


US-Based Global Broker Ordered to Pay AU $50,000 by Australian National Regulator for Alleged Pre-Arranged Futures Trades on ASX
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • June 11 2017

Citigroup Global Markets Australia was ordered to pay a penalty of AU $50,000 (US $38,000) by the Australian Securities and Investments Commission


CPO Fined US $1 Million for Making Prohibited Loans and Advances to CEO From Funds’ Assets
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • May 7 2017

Duet Asset Management Ltd., a Commodity Futures Trading Commission-registered commodity pool operator, agreed to pay a fine of US $1 million to the


Australian Regulator Sanctions Broker for Engaging in Pre-Negotiated Futures Transactions With Client Without Requisite Time Delay
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • February 27 2017

The Australian Securities & Investment Commission fined BGC Partners (Australia) Pty Limited Aus $90,000 (approximately US $69,000) for failure to


CPO and Owner Sanctioned by CFTC for Violations of Law and Rules
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • February 12 2017

John Oden and Oden Capital Management settled charges brought by the Commodity Futures Trading Commission that they operated commodity pools contrary


The Katten Kattwalk - Fall 2016 - Issue 11
  • Katten Muchin Rosenman LLP
  • Australia, Canada, USA
  • October 26 2016

The streets are filling up and the colors are changing, signaling that it's fall in New York. As always, we look forward to what is in store for


ESMA Publishes Advice on Potential Extension of AIFMD Marketing Passport
  • Katten Muchin Rosenman LLP
  • Australia, Bermuda, Canada, Cayman Islands, European Union, USA, Guernsey, Isle of Man, Japan, Jersey, Switzerland, United Kingdom
  • July 22 2016

On July 19, the European Securities and Markets Authority (ESMA) published its long-delayed and much anticipated advice to the European Commission


Australian-based swap dealer sanctioned by CFTC in first case for violations of large trader reporting requirements for physical commodity swap positions
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • September 20 2015

The Australia and New Zealand Banking Group Ltd., an Australian-based Commodity Futures Trading Commission-registered swap dealer, was charged by the


CFTC and Reserve Bank of Australia sign memorandum of understanding regarding cross-border clearing organizations
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • June 6 2014

The Commodity Futures Trading Commission and Reserve Bank of Australia signed a memorandum of understanding (MOU) regarding the cooperation and the


SEC approves rule providing for expedited and free access to ongoing disclosures by municipal bond issuers
  • Katten Muchin Rosenman LLP
  • Australia, USA
  • December 12 2008

On December 8, the Securities and Exchange Commission announced the adoption of a final rule designating the Municipal Securities Rulemaking Board (MSRB) as the sole central repository for all electronic continuing disclosure information provided pursuant to Rule 15c2-12 and establishing a continuing disclosure service of the MSRB's Electronic Municipal Market Access system (EMMA