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Results: 1-10 of 839

SEC Watchdog Finds Cybersecurity Policies Better But Not Always Enforced
  • Katten Muchin Rosenman LLP
  • USA
  • August 13 2017

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued a report saying that firms have "increased


CME and CBOT Settle Disciplinary Actions for Alleged Position Limits Violations and Spoofing
  • Katten Muchin Rosenman LLP
  • USA
  • August 13 2017

Two disciplinary actions involving allegations of disruptive trading were settled by nonmembers of CME Group exchanges. In one action, Andrew Akins


Federal Appeals Court Upholds Conviction and Sentencing of First Person Criminally Charged for Spoofing Under Dodd-Frank Prohibition
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2017

Yesterday, Michael Coscia's criminal conviction and sentencing for spoofing was unanimously upheld by a three-judge Federal Court of Appeals panel in


Nadex’s Trade Practice Surveillance Program Criticized in CFTC Rule Review
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 6 2017

The Division of Market Oversight of the Commodity Futures Trading Commission identified various weaknesses in the trade surveillance program of the


OCC Seeks Input How Volcker Regulations Should Be Amended
  • Katten Muchin Rosenman LLP
  • USA
  • August 6 2017

The Office of the Comptroller of the Currency solicited comment on how the specific requirements it adopted to implement the so-called "Volcker Rule"


OCC Seeks Volcker Rule Comments
  • Katten Muchin Rosenman LLP
  • USA
  • August 4 2017

On August 2, the Office of the Comptroller of the Currency provided further evidence that change may be forthcoming for banks subject to the Volcker


FCA Opens MiFID II Passporting Gateway
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • August 4 2017

On July 31, the UK Financial Conduct Authority (FCA) began accepting applications for passport notifications under the revised Markets in Financial


SEC Warns That Digital Tokens May Be Securities
  • Katten Muchin Rosenman LLP
  • USA
  • August 3 2017

On July 25, the Securities and Exchange Commission (SEC or the Commission) published a Report of Investigation (Report) pursuant to Section 21(a) of


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


FCA Makes No Promises to Firms That Missed the July 3 Deadline for Requesting MiFID II Permissions
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • July 30 2017

The UK Financial Conduct Authority reminded financial service firms that they may only carry on activities that require authorization under the