Feb 27, 2024 Back to the Drawing-Board: The CFTC Re-Proposes Rules to Codify Letter 19-17 By Stephen Morris Just under 10 years ago, the Joint Audit Committee launched a shot across the bow of the futures industry with this seemingly innocuous...
Feb 26, 2024 Ensuring Everything Is Above Board: CFTC Proposes Simplified Rules for SEF and DCM Governance, Independence and Mitigating Conflicts of Interest By Nicholas Gervasi Carl Kennedy Seeking to ensure that designated contract markets (DCMs) and swap execution facilities (SEFs) adequately incorporate an independent...
Feb 16, 2024 DEI and the Perils of Over-Claiming and Under-Delivering By Katten Muchin Rosenman LLP Building a business with a diversified employee base is no longer a nice to have; it’s necessary, both in terms of talent retention and...
Feb 16, 2024 FinCEN AML Alert: SEC Investment Advisers Again in Focus By Adam Bolter Nicholas Gervasi On February 13, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed to expand anti-money...
Feb 15, 2024 Street Artists Allege Nonconsensual Use of Their Works by Two Major Fashion Retailers By Katten Muchin Rosenman LLP
Feb 15, 2024 Katten’s Paul Musser Spotlights Turnaround Experts as Host of the TMA Chicago Midwest Podcast By Katten Muchin Rosenman LLP Working with TMA Chicago Midwest, Katten has relaunched the chapter’s podcast with Insolvency and Restructuring Partner Paul Musser as...
Feb 13, 2024 CMS Clarifies Boundaries on AI in Coverage Determination for Medicare Advantage Organizations By Katy Pollitt On February 6, the Centers for Medicare and Medicaid (CMS) published an important FAQ for Medicare Advantage Organizations (MA) and...
Feb 12, 2024 Katten Fact Sheet for Certain Firms That Must Become FINRA Members By Susan Light As background, the SEC adopted amendments to Rule 15b9-1 of the Securities Exchange Act of 1934 (SEA Rule 15b9-1) that require a...
Feb 12, 2024 Third Time's a Charm? SEC & CFTC Finalize Amendments to Form PF By Adam Bolter Robert Bourret On February 8, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) jointly adopted amendments to...
Feb 07, 2024 SEC Broadens 'Dealer' Definition By James Brady Susan Light Richard Marshall On February 6, 2024, the Securities and Exchange Commission (SEC) adopted two new rules that expand who may be considered a dealer or a...
Feb 05, 2024 UK Government Grants Equivalence to EEA UCITS Funds Under the Overseas Funds Regime By Neil Robson Christopher Collins Ciara McBrien On 30 January 2024, the UK government published a written statement (Statement) granting an equivalence decision for European Economic...
Feb 02, 2024 CFPB Proposes a New Rule on NSF Fees When Consumers Are Denied Fund Withdrawals By Ted Huffman Eric Hail Katherine Chambers On January 24, the Consumer Financial Protection Bureau (CFPB) issued a new proposed rule in its ongoing campaign against so-called “junk...
Feb 02, 2024 ChatGPT Violates EU Privacy Rules According to Italian Watchdog By Sarah Simpson OpenAI was thrust into the limelight last year thanks to the popularity of its generative AI chatbot ChatGPT. While it is expected that...
Feb 02, 2024 Supreme Court Considers Whether Pure Omissions Can Support Section 10(b) Liability By Sarah Eichenberger On January 16, 2024, the U.S. Supreme Court held oral argument on a question that could have significant consequences for securities...