We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search

Clear all

Refine your search

Content type

Tags

Author

99 results found

Article

Katten Muchin Rosenman LLP | USA | 6 May 2018

Class Action Lawsuit Filed Against Ripple Labs for Unregistered Sales of Securities

A purported class action lawsuit was filed in a California court against Ripple Labs, Inc. and other defendants for offering and selling unlicensed

Article

Katten Muchin Rosenman LLP | Gibraltar | 18 Mar 2018

Gibraltar Suggests Many ICO-Issued Digital Tokens Are Commercial Products, Not Securities

The government of Gibraltar issued a proposal for the regulation of digital token sales, secondary digital token market platforms, and investment

Article

Katten Muchin Rosenman LLP | USA | 28 Jan 2018

SEC Chairman Warns Lawyers Providing “It Depends” Advice on ICOs

In a speech last week before the Securities Regulation Institute, Securities and Exchange Commission Chairman Jay Clayton cautioned lawyers who may

Article

Katten Muchin Rosenman LLP | Hong Kong | 28 Jan 2018

HK Securities Regulator Bans Individual Registrant Six Months for Emailing Himself Customer Information Prior to Departing Employer

The Securities and Futures Commission of Hong Kong banned Chan Wai Nun from all industry activity for six months for transferring to himself client

Article

Katten Muchin Rosenman LLP | USA | 21 Jan 2018

FINRA Fines Another Broker-Dealer For Alleged Breakdowns in Custody and Control of Customer FullyPaid and Excess Margin Securities

Jefferies LLC agreed to resolve a disciplinary action brought by the Financial Industry Regulatory Authority for violations of requirements to hold

Article

Katten Muchin Rosenman LLP | USA | 7 Jan 2018

FINRA Fines One Broker-Dealer US $2 Million for Flawed Email Review System, and Another Broker-Dealer US $2.8 Million for Inadequate Segregation of Customer Securities

Raymond James Financial Services, Inc., agreed to pay a fine of US $2 million to the Financial Industry Regulatory Authority for not maintaining an

Article

Katten Muchin Rosenman LLP | Canada | 22 Oct 2017

Canadian Regulators Find More Than Half of Registrants Experienced Security Incident in 2016

The Canadian Securities Administrators reported that over half of registered firms experienced a cybersecurity incident during 2016. Phishing

Article

Katten Muchin Rosenman LLP | USA | 1 Oct 2017

SEC Files Lawsuit Against Companies and Backer for Purportedly Fake Initial Coin Offerings

The Securities and Exchange Commission filed an enforcement action against two companies and their sole owner - who also was the chief executive

Article

Katten Muchin Rosenman LLP | Canada | 1 Oct 2017

Canadian Securities Regulators Ban Binary Options

The Canadian Securities Administrators finalized its prohibition on the offer, sale and advertisement of binary options to individuals in Canada

Article

Katten Muchin Rosenman LLP | Hong Kong | 24 Sep 2017

ETRADE Securities HK Sanctioned for Referring Accounts to Non-HK-Registered Affiliate

ETRADE Securities HK was fined HK $20,000 (approximately US $2,560) and costs by a court in Hong Kong for introducing public accounts to ETrade

Previous page 1 2 3 ...