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Results: 1-10 of 585

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


LIBOR to End in 2021
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 30 2017

In a speech last week at Bloomberg, London, Andrew Bailey, Chief Executive of the UK Financial Conduct Authority indicated that the regulator will


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


Senior Brokerage Firm Officer Suspended by HK Regulator Six Months for Allegedly Failing to Stop Third Party Fund Transfers
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • June 4 2017

The HK Securities and Futures Commission suspended for six months Hui Lam Chiu, a former Guoyuan Securities Brokerage Limited responsible officer


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


FINRA Resolves Charges Against Broker-Dealer for Inadequate Controls for Third-Party Payments From Customer Accounts; Hong Kong Regulator Sanctions Yet Another Broker for Similar Offense
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • April 16 2017

FSC Securities Corporation, a Securities and Exchange Commission-registered broker-dealer, agreed to pay a fine of US $200,000 to resolve a


Another Broker Sanctioned by HK SFC for AML Violations Related to Money Transfers Between Clients and Third Parties
  • Katten Muchin Rosenman LLP
  • Hong Kong
  • April 9 2017

The Hong Kong Securities and Futures Commission fined Guoyuan Securities Brokerage (Hong Kong) Limited HK $4.5 million (approximately US $590,000


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