Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
9/18/2023
/ Biden Administration ,
Bitcoin ,
Blockchain ,
China ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Fund Managers ,
Loans ,
Non-Fungible Tokens (NFTs) ,
Securities ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit
Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague -
The US federal court handling...more
11/22/2016
/ Asset Management ,
Audits ,
Block Trades ,
Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
China ,
Civil Monetary Penalty ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
FRB ,
Futures ,
Government Officials ,
Hiring & Firing ,
Illegal Trading ,
Mary Jo White ,
Resignation ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Stress Tests ,
UK
California Federal Court Refuses to Stop FERC Lawsuit to Uphold the Validity of US $453 Million Penalty for Manipulating Electricity Prices: A federal court in California refused to stop a lawsuit by the Federal Energy...more
3/8/2016
/ Barclays ,
Chicago Mercantile Exchange (CME) ,
China ,
Civil Monetary Penalty ,
Federal Reserve ,
FERC ,
Foreign Official ,
Global Systemically Important Financial Institutions (GSIFI) ,
Price Manipulation ,
Qualcomm ,
Sanctions ,
Securities and Exchange Commission (SEC)
China Regulator Issues Final Interim Measures Governing Overseas Access to Its Futures Markets -
The China Securities Regulatory Commission issued final interim measures to permit trading by overseas investors on...more