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Results: 1-10 of 2,198

CFTC commissioner raises ghost of HanMag securities to discuss clearinghouse risk management issues
  • Katten Muchin Rosenman LLP
  • South Korea, USA
  • December 7 2014

Invoking the specter of the default of HanMag Securities Corporation on the Korea Exchange (KRX) last December (without referencing the firm by name


CFTC approves NFA prohibition of credit cards for retail FX accounts
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The Commodity Futures Trading Commission has approved NFA's proposed prohibition against Forex Dealer Members accepting credit cards by retail


CFTC staff grants no action relief regarding application of business conduct standards for swaps with certain legacy SPVs
  • Katten Muchin Rosenman LLP
  • USA
  • April 5 2015

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight granted no action relief to Swap Dealers that enter


UBS Securities sanctioned by CBOT and NYMEX for block trade errors
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

UBS Securities, LLC was charged in disciplinary actions brought by the Chicago Board of Trade and the New York Mercantile Exchange with violating


One more time: CFTC again reopens comment period for proposed position limit rule
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The Commodity Futures Trading Commission announced the re-opening of the comment period for its proposed rule related to the aggregation of positions


Problematic EFRPs and wash trades sanctioned by CME Group and ICE futures U.S.
  • Katten Muchin Rosenman LLP
  • USA
  • April 5 2015

CME Group and ICE Futures U.S. sanctioned a number of traders for documentation issues related to exchange for related position (EFRP) transactions


Introducing Broker Resolves ICE Futures U.S. Charges Related to Delayed Block Trade Reporting; Another CME Group Member Settles for Faulty ATS
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

Atlas Commodities, LLC, a Commodity Futures Trading Commission-registered introducing broker, agreed to pay a fine of US $65,000 to resolve a


Futures trader charged with stealing proprietary trading code from former trading firm
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

David Newman was indicted by a federal grand jury in Chicago for stealing trading strategy computer code from an unnamed Chicago-based high-speed


NFA proposes applying just and equitable requirements to swaps activities too
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The National Futures Association has proposed extending its requirements that members observe "high standards of commercial honor and just and


NFA issues guidance on annual affirmation requirement for firms operating as CTAs or CPOs but exempt or excluded from registration
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The National Futures Association issued a reminder to persons or entities operating under an exemption or exclusion from registration as a commodity