Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
9/12/2024
/ CFTC ,
Cryptoassets ,
Digital Assets ,
EU ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
2/15/2024
/ Banking Sector ,
CFTC ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
UK
Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
7/28/2023
/ CFTC ,
Cybersecurity ,
Data Privacy ,
Digital Currency ,
EU-US Privacy Shield ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
HM Treasury ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
UK
Four Key Considerations Since SEC Amended Form PF -
In early May, the Securities and Exchange Commission (SEC) adopted a final rule amending Form PF, the confidential reporting form for certain SEC-registered investment...more
6/14/2023
/ Biometric Information Privacy Act ,
CFTC ,
Climate Change ,
Crypto Exchanges ,
Cryptoassets ,
Data Privacy ,
Digital Assets ,
Environmental Social & Governance (ESG) ,
EU ,
False Claims Act (FCA) ,
New Legislation ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Texas ,
UK ,
Whistleblowers
New DOL Rule Enables Consideration of ESG Factors in Investing, Plus the SEC Continues its ESG Enforcement Push in the Absence of Final SEC Rules -
On November 22, the US Department of Labor (DOL) announced a final rule...more
12/14/2022
/ Block Trades ,
Crypto Exchanges ,
Cryptoassets ,
Cybersecurity ,
Data Protection ,
Department of Labor (DOL) ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Personal Data ,
Private Investment Funds ,
Securities and Exchange Commission (SEC) ,
UK
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
Key Points -
- The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) recently released a Risk Alert warning investment advisers, broker-dealers, investment companies,...more
BROKER-DEALER -
2016 Examination Priorities Announced By SEC -
On January 11, the Securities and Exchange Commission released the Office of Compliance Inspections and Examinations’ (OCIE) 2016 examination...more
1/18/2016
/ CFTC ,
Cybersecurity ,
Derivatives ,
ETFs ,
EU ,
European Banking Authority (EBA) ,
Financial Conduct Authority (FCA) ,
Investment Funds ,
MiFID II ,
SEC Examination Priorities ,
Swap Clearing ,
UK
SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies Makes Recommendations -
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more
9/28/2015
/ ACH Payments ,
Asset Diversification ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Emerging Growth Companies ,
FDIC ,
Financial Conduct Authority (FCA) ,
Finders ,
Investment Funds ,
IRS ,
Mutual Funds ,
Registration Requirement ,
Rule 147 ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC) ,
Supervision ,
U.S. Treasury ,
UK