Nov 29, 2023 The FCA Publishes Guidance Consultation on Anti-Greenwashing By Neil Robson Sara Portillo On 28 November 2023, the Financial Conduct Authority (FCA) published its Policy Statement on Sustainability Disclosure Requirements (SDR)...
Nov 29, 2023 ICYMI: A Year-End Review With Estate Planning Strategies for 2024 By Katten Muchin Rosenman LLP The estate planning world certainly saw its share of turbulence from 2020-2022. With two significant elections, it is hard to remember a...
Nov 28, 2023 EU to Ban Carbon Offset Claims Entirely? By Chris Cole Responding to pressure from activists who have argued that “[c]arbon neutral claims are greenwashing, plain and simple,” the European...
Nov 27, 2023 Artificial Intelligence and Machine Learning Across the UK, EU and US: Bridging the Regulatory Divide By Neil Robson Ciara McBrien Sara Portillo On 8 November 2023, Neil Robson, a partner in the Financial Markets and Funds practice, moderated a panel discussion on the regulatory...
Nov 27, 2023 UK’s Draft Short Selling Regulations 2024 Published (Updated) By Neil Robson Christopher Collins Sara Portillo On 22 November 2023, HM Treasury (HMT) published a draft of the Short Selling Regulations 2024 (the Draft SI) and an accompanying...
Nov 22, 2023 FINRA Acts to Update its Advertising Rule By Susan Light The Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission on November 13,...
Nov 17, 2023 UK Regulators Publish Updates for the Regulation of Fiat-Backed Stablecoins By Neil Robson Nathaniel Lalone Carolyn Jackson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 6 November 2023, the Bank of England (BoE) published a discussion paper on the “Regulatory Regime for Systemic Payment Systems Using...
Nov 17, 2023 UK Confirms Proposals for the Future Financial Services Regulatory Rules for Cryptoassets By Neil Robson Nathaniel Lalone Carolyn Jackson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 30 October 2023, HM Treasury (HMT) published a response (the Response) to its February 2023 consultation and call for evidence on its...
Nov 16, 2023 (mis)Conduct, Money & Reputation Podcast Explores 'DWS, Sustainability & Disclosure' By Jessica Anand ESG, specifically sustainability, is an increasingly controversial topic for investment managers, with diverging regulation in Europe,...
Nov 16, 2023 New York Proposes New Cybersecurity Regulations for Hospitals By Trisha Sircar This week, New York regulators announced that they plan to release proposed cybersecurity regulations for hospitals. The impetus for the...
Nov 15, 2023 UK FCA Publishes Marketing Guidance for Cryptoasset Firms By Neil Robson Christopher Collins Ciara McBrien Sara Portillo +1 more... Show less On 2 November 2023, the Financial Conduct Authority (FCA) published finalised non-handbook guidance on cryptoasset financial promotions...
Nov 15, 2023 UK Government Publishes a Response to its Consultation – Failure or Success? By Neil Robson Christopher Collins Sara Portillo On 30 October 2023, HM Treasury (HMT) published a response to its May 2022 consultation (the Consultation) on its approach to managing...
Nov 08, 2023 Action Required: Corporate Transparency Act Reporting Is Here By Katten Muchin Rosenman LLP This advisory provides a general summary of the Corporate Transparency Act1 and its requirements and is not intended to, and does not,...
Nov 07, 2023 SEC Division of Examinations Publishes 2024 Priorities: Spotlight on Investment Advisers and Broker-Dealers By Adam Bolter On October 16, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities...
Nov 07, 2023 SEC Sues SolarWinds and its CISO for Fraud and Other Violations Related to Massive Data Breach By Danette Edwards On October 30, 2023, the US Securities and Exchange Commission (SEC or Commission) sued SolarWinds and its Chief Information Security...
Nov 07, 2023 Back to the Future: CFTC Proposes to Amend Customer Funds Investment Rule Including to Again Permit Investments in Certain Non-US Sovereign Debt By Carl Kennedy Stephen Morris Dan Davis The Commodity Futures Trading Commission (CFTC) has proposed to lessen a blanket restriction on the investment of customer funds in all...