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10/31/2023 2:07:34 PM

UK Regulators Publish Policy Statement on the Bonus Cap Removal

By Neil Robson Carolyn Jackson Nathaniel Lalone +3 more...

On 24 October 2023, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) (together, the Regulators)...

10/27/2023 2:26:11 PM

UK FCA Publishes Statement on Common Cryptoasset Marketing Issues

By Neil Robson Christopher Collins Ciara McBrien +1 more...

On 25 October 2023, the FCA published a statement (Statement) warning about common issues with cryptoasset marketing in the UK. The FCA...

10/20/2023 5:51:05 PM

The SEC Adopts New Short Sale Reporting Requirements for Institutional Investment Managers

By David Dickstein Eli Krasnow

On October 13, 2023, the SEC adopted Rule 13f-2 which will require institutional investment managers (“Institutional Managers”) to report...

10/19/2023 10:36:05 PM

Significant Changes Proposed to CFTC Rule 4.7 'Registration Lite'

By Christian Hennion

For the last three decades, CFTC Regulation 4.7 has provided registered CPOs and CTAs with exemptions from certain compliance...

10/19/2023 2:51:31 PM

Tread with Caution: New CFTC Enforcement Advisory on Penalties, Monitors and Admissions Portends Increased Compliance Costs for Industry

By Carl Kennedy Dan Davis Alex Kim

It is no longer just lions, tigers and bears Dorothy needs to be fearful of, but if she is a potential defendant in a CFTC enforcement...

10/17/2023 8:17:19 PM

CMS Settled a Record Number of SRDPs in 2022

By Daniel Walbright

The Centers for Medicare and Medicaid Services (CMS) recently updated the publicly available information regarding the Self-Referral...

10/17/2023 1:34:57 PM

CFTC Resuscitates Version of MLB’s Former 'Neighborhood Play' to Sue Principal of Defunct Crypto-Asset Entity Voyager as a Commodity Pool Operator

By Dan Davis Christian Hennion

'The Commodity Futures Trading Commission appears to have revived a version of Major League Baseball’s “neighborhood play,” as evidenced...

10/11/2023 3:11:17 PM

FTC Proposes Rule to Ban 'Junk Fees'

By Chris Cole

The FTC has proposed a rule to ban so-called “Junk Fees,” which, if enacted as proposed, would affect numerous industries, ranging from...

10/11/2023 10:04:15 AM

UK Regulators Publish Consultations on Diversity and Inclusion Measures

By Sara Portillo Neil Robson

The Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) have recently published consultation papers on a package...

10/10/2023 7:30:16 PM

UK Crypto AML Registrations: FCA Feedback on Good and Poor Quality Applications

By Neil Robson Christopher Collins Sara Portillo

On 6 October 2023, the Financial Conduct Authority (“FCA”) updated its anti-money laundering (“AML”) and counter terrorist financing...

10/10/2023 2:22:10 PM

Join Katten for Securing Success: Decoding SEC and Other Cybersecurity Requirements in an Intensifying Threat Environment on October 26

By Katten Events

In today's digital world, public and private companies are facing a growing number of cybersecurity threats while simultaneously...

10/6/2023 7:08:05 PM

SEC’s Request for Interlocutory Appeal of Favorable Rulings for Ripple Labs’ Defendants Rejected Based on Well-Settled Law

By Dan Davis Alex Kim

On October 3, 2023, a federal court denied the Securities and Exchange Commission’s request to certify for appeal the same court’s...

10/4/2023 3:32:07 PM

Join Katten for the Annual Private Wealth & Fiduciary Seminar on October 11

By Katten Events

Katten will present its annual Private Wealth & Fiduciary Seminar, “Advising UHNW Families in an Era of Uncertainty,” at 9:00 a.m. (CT)...

10/4/2023 12:16:33 AM

The Carbon Claims Pincer Movement