Zachary Schmitz

Zachary Schmitz

Katten Muchin Rosenman LLP

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Financial Markets and Funds Quick Take | Issue 36

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

3/13/2025  /  CFTC , Cryptocurrency , Data Privacy , Digital Assets , Enforcement Actions , European Commission , Executive Orders , NYDFS , Reporting Requirements , Securities and Exchange Commission (SEC)

CFTC Acting Chairman Pham Announces Effort to Quickly Resolve Recordkeeping and Reporting Investigations and Pledges Additional...

During her keynote address at the Futures Industry Association’s International Futures Industry Conference, BOCA50, CFTC Acting Chairman Caroline D. Pham announced a new effort to encourage market participants to resolve open...more

3/12/2025  /  CFTC , Civil Monetary Penalty , Enforcement Actions , Recordkeeping Requirements , Regulatory Reform , Regulatory Requirements , Reporting Requirements , Self-Reporting , Settlement

Clearer Skies Ahead: CFTC Enforcement Division's New Advisory Opens Doors for Self-Reporting and Increased Cooperation

In what is being widely viewed as a welcome breath of fresh air, the Commodity Futures Trading Commission (the Commission or CFTC) Division of Enforcement (the Division) released an advisory on February 25, detailing the...more

3/10/2025  /  CFTC , Civil Monetary Penalty , Enforcement Actions , Executive Orders , Regulatory Reform , Regulatory Requirements , Risk Management , Self-Reporting , Transparency

Will History Repeat Itself? Peering Into the Past to Predict the Next Four Years of CFTC Enforcement Actions

During every presidential transition, the futures industry looks for clues regarding what changes may be coming. History has shown that when administrations transition, far more stays the same than changes and that the...more

1/29/2025  /  Biden Administration , CFTC , Cryptocurrency , Decentralized Finance (DeFi) , Enforcement Actions , Financial Services Industry , Fraud , Regulatory Agenda , Trump Administration
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