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SEC Begins Proactively Suggesting Some Promoters Halt ICOs; the UK Financial Conduct Authority Joins Worldwide Regulators Saying that Digital Tokens Issued as Part of ICOs May Be Securities
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

Following the release of the Report of Investigation by the Securities and Exchange Commission in July, which concluded that certain digital tokens


OCIE Advises on Common Advertising Compliance Issues Identified During Investment Adviser Reviews:
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued guidance setting forth the most frequent


FINRA Panel Fines Broker-Dealer US $750,000 for Failing to Tailor AML Program to Actual Business:
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

C.L. King & Associates, Inc., a broker-dealer, was fined US $750,000 by a hearing panel of the Financial Industry Regulatory Authority for misleading


Introducing Broker and Principal Settle NFA Charges That IB Benefitted from Third-Party Misleading Promotional Material
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

The National Futures Association settled a complaint brought against Kingsview Futures LLC and Joshua Lewis, the firm's sole owner and chief executive


Spoofing Case Filed in Connecticut Against Overseas-Based Precious Metals Futures Trader
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

Last week, a criminal complaint was filed against Andre Flotron, a former precious metals trader for UBS Investment Bank (click here for background on


New FCA Webpage on Updates to MiFID Notifications Obligations
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

On September 11, the UK Financial Conduct Authority (FCA) published a new webpage with an update on MiFID II notification requirements and procedures


SEC Commissioners Announce Search for First-Ever Advocate for Small Business Capital Formation
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

On September 13, the Commissioners of the Securities and Exchange Commission (SEC) announced the launch of a nationwide search for candidates to fill


SEC Issues Statement on September 5 Implementation of “T2” Settlement Cycle for Securities Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

As previously discussed in the March 24 edition of the Corporate & Financial Weekly Digest, the Securities and Exchange Commission (SEC), on March 22


MiFID II Direct Electronic Access Template Questionnaire Published
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

The revised Markets in Financial Instruments Directive (MiFID II) imposes a new regulatory and compliance regime on providers of direct electronic


ESMA Publishes Further Guidance on Open Access Transitional Periods
  • Katten Muchin Rosenman LLP
  • USA
  • September 15 2017

The Markets in Financial Instruments Regulation (MiFIR) provides for a new "open access" regime between trading venues and central counterparties