SEC to Inspect Firms for Compliance With New Advertising and Solicitation Rule -
November 4 is the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule...more
10/13/2022
/ Advertising ,
B2B Transactions ,
Bribery ,
California Consumer Privacy Act (CCPA) ,
CFTC ,
Cryptoassets ,
Decentralized Autonomous Organization (DAO) ,
Energy Market ,
EU ,
Foreign Investment ,
Joint Audit Committee ,
National Security ,
Securities and Exchange Commission (SEC) ,
UK
BROKER-DEALER -
SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption -
On March 5, the Securities Exchange Commission’s Division of...more
BROKER-DEALER -
SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities -
On September 16, the Securities and Exchange Commission...more
BROKER-DEALER -
FINRA Releases an Updated Security Futures Risk Disclosure Statement -
On August 14, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-28 that included an updated Security...more
Katten's London affiliate office launched its weekly fireside chat on May 5, 2020 and each week has covered a wide range of interesting UK and EU financial services regulatory topics. We have received some fantastic feedback...more
BROKER-DEALER -
FINRA Issues Investor Alert Regarding Required Minimum Distributions -
The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more
2/18/2020
/ Broker-Dealer ,
CFTC ,
Cryptoassets ,
Digital Assets ,
EMIR ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
IOSCO ,
MiFIR ,
National Futures Association ,
Required Minimum Distributions ,
SECURE Act
SEC/CORPORATE -
Glass Lewis Releases 2020 US Proxy Paper Guidelines -
On November 1, Glass Lewis released its 2020 US Proxy Paper Guidelines. The updates to the voting guidelines primarily add additional factors that...more
11/25/2019
/ Broker-Dealer ,
CFTC ,
Corporate Governance ,
Cryptoassets ,
Financial Industry Regulatory Authority (FINRA) ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Proxy Season ,
Proxy Voting Guidelines ,
Sale of Goods Act (SOGA) ,
Securities and Exchange Commission (SEC) ,
Smart Contracts ,
UK
FINANCIAL MARKETS -
IOSCO Consults on Regulating Crypto-Asset Trading Platforms -
On May 28, the International Organization of Securities Commissions (IOSCO) published a consultation paper on regulating crypto-asset...more
SEC/CORPORATE -
SEC Adopts Rules to Modernize and Simplify Disclosure -
The Securities and Exchange Commission recently adopted final rules to modernize and simplify the disclosure requirements for public companies...more
4/15/2019
/ Broker-Dealer ,
Confidential Information ,
Corporate Financing Rule ,
Cryptoassets ,
Digital Assets ,
Disclosure Requirements ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Fixing America’s Surface Transportation Act (FAST Act) ,
Form 10-K ,
GAAP ,
Proposed Rules ,
Regulation S-K ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
FINRA Releases 2019 Annual Risk Monitoring and Examination Priorities Letter -
On January 22, the Financial Industry Regulatory Authority (FINRA) issued its annual Risk Monitoring and Examination...more
1/28/2019
/ Commodities ,
Cryptoassets ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
MiFID II ,
SEC Examination Priorities ,
Senior Management Regime (SMR) ,
UK ,
Virtual Currency
CFTC -
NFA Amends Interpretive Notice Regarding ISSPs -
On January 7, the National Futures Association (NFA) issued a notice to its members that amendments to its Interpretative Notice, entitled NFA Compliance Rules...more
1/14/2019
/ Cryptoassets ,
EU ,
EU Passport ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Information Systems Security Program (ISSP) ,
Investment Funds ,
MiFID II ,
MiFIR ,
NFA ,
Packaged Retail And Insurance-Based Investment Products (PRIIPS) ,
UK Brexit ,
Withdrawal Agreement
BROKER-DEALER -
FINRA Issues Report on Examination Findings -
This month, the Financial Industry Regulatory Authority (FINRA) issued a report summarizing various findings from recent examinations of its member firms...more
12/17/2018
/ Article 50 Treaty of the EU ,
Binary Options ,
CFTC ,
CPOs ,
Cryptoassets ,
Derivatives ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Internal Controls ,
NFA ,
No-Deal Brexit ,
Swaps ,
UK ,
UK Brexit
DERIVATIVES -
SEC Issues Statement on Swap Business Conduct Rules -
On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS) by...more
11/5/2018
/ Alternative Investment Fund Managers Directive (AIFMD) ,
CFTC ,
Cryptoassets ,
Cryptocurrency ,
Derivatives ,
EU ,
European Securities and Markets Authority (ESMA) ,
Futures Commission Merchants (FCMs) ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
UCITS ,
UK ,
UK Brexit