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26 results found

Article

Dorsey & Whitney LLP | USA | 3 Dec 2013

Strategic planning for 2014: protecting your trading operation from federal regulatory enforcement actions

Companies with trading operations are experiencing increased difficulty navigating the rapidly evolving and complex regulatory environment. One

Article

Dorsey & Whitney LLP | USA | 25 Nov 2013

CFTC fines, temporarily bans traders for attempted manipulation

The newly empowered CFTC has been bringing an increasing number of market manipulations cases. Last month, for example, the agency teamed with the

Article

Dorsey & Whitney LLP | USA, Netherlands, United Kingdom | 29 Oct 2013

DOJ, CFTC, FCA and Dutch prosecutor settle LIBOR actions

Rabobank - Cooperatieve Centrale Raiffeisen-Boerenleenbank B.A. - resolved charges that it manipulated LIBOR and Euribor with four enforcement

Article

Dorsey & Whitney LLP | USA | 27 Oct 2013

CFTC fiscal 2013: significant cases, increasing criminalization

The CFTC stepped up its enforcement activity in fiscal 2013, brining a number of significant actions, according to a recent report by the agency

Article

Dorsey & Whitney LLP | USA | 12 Sep 2013

This week in securities litigation (week ending September 13, 2013)

The recent NASDAQ outage was a key focus this week. The SEC held a meeting attended by the leaders of the securities and options exchanges, FINRA

Article

Dorsey & Whitney LLP | USA | 11 Sep 2013

CFTC issues concept release on risk controls for automated trading systems

Risk controls and automated market systems have been a key topic for market regulators in view of recent markets events. This week the CFTC issued a

Article

Dorsey & Whitney LLP | USA | 23 Jul 2013

CFTC, FCA and CME group sanction high speed traders

High speed trading is a frequently discussed and much studied technique used to trade in the securities and futures markets. The SEC is studying the

Article

Dorsey & Whitney LLP | USA | 18 Jul 2013

SEC, CFTC halt fraudulent forex trading scheme

The SEC and the CFTC joined forces to halt an on-going forex trading scheme being conducted by an individual who had previously been barred by the

Article

Dorsey & Whitney LLP | USA | 28 Jun 2013

This week in securities litigation (week ending June 28, 2013)

The CFTC took center stage this week, bringing an aggressive enforcement action against former New Jersey governor and Goldman Sachs partner Jon

Article

Dorsey & Whitney LLP | USA | 20 Mar 2013

CFTC prevails in jurisdictional dispute with FERC

In the 1980s the SEC and the CFTC had turf battles that ultimately ended with an accord between the two agencies. More recently the CFTC and the

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