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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


Second Circuit Issues Key Ruling Regarding Personal Benefit Requirement for Insider Trading Liability
  • Katten Muchin Rosenman LLP
  • USA
  • September 8 2017

In United States vs. Martoma, issued on August 23, the Second Circuit reexamined its standard for evaluating liability for insider trading under


Model State Law Regarding Virtual Currency Businesses Virtually Finalized
  • Katten Muchin Rosenman LLP
  • USA
  • August 20 2017

In mid-July a model law for the regulation of virtual currency businesses was adopted by the National Conference of Commissioners on Uniform State


Trader Settles COMEX Disciplinary Actions for Failure to Supervise Employee’s Purported Spoofing Activity
  • Katten Muchin Rosenman LLP
  • USA
  • July 30 2017

Focus and Vision General Trading LLC and a trader it employed, Vivek Jain, agreed to resolve a disciplinary action brought by the Commodity Exchange


Two Firms Settle CME Group Exchanges’ Charges That They Entered Into Contingent EFRPs
  • Katten Muchin Rosenman LLP
  • USA
  • July 23 2017

A Chicago Board of Trade and a Chicago Mercantile Exchange member each agreed to settle disciplinary actions charging that they entered into exchange


HK SFC Suspends Broker Eight Months for Transferring Proprietary Information and Company Date from Former to New Employer
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • June 25 2017

The Hong Kong Securities and Futures Commission barred Mr. Fok Chi Kin, a former vice president of JPMorgan Funds (Asia) Limited (JPFL), from engaging


SEC to Broker-Dealer in Enforcement Action: Include Basis for Suspicions in Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The Securities and Exchange Commission filed an enforcement action against Alpine Securities Corporation, a registered broker-dealer, in a federal


CFTC Strengthens Protections for Whistle-Blowing While You Work
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The Commodity Futures Trading Commission amended its whistle-blowing rules to augment anti-retaliation protections for whistleblowers. Simultaneously


CME Settles With FCM for Failure to Timely Produce Documents; Other Exchange Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Wedbush Securities Inc. agreed to pay a fine of US $55,000 to resolve a disciplinary action brought by the Chicago Mercantile Exchange for failing to


Former FCM Traders Settle CFTC Charges They Engaged in Spoofing More Than 1,000 Times
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

The Commodity Futures Trading Commission resolved charges against Stephen Gola and Jonathan Brims, former associated persons of a futures commission