Aug 09, 2024 (mis)Conduct, Money & Reputation: A Look at Equifax, CrowdStrike & Cybersecurity By Katten Muchin Rosenman LLP Cybersecurity continues to dominate headlines, concern investors and have substantial and very real implications for asset and wealth...
Jul 31, 2024 FinCEN Proposes Enhanced AML Rules By Susan Light Eli Krasnow On July 3, the Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposal) to strengthen and modernize...
Jan 12, 2024 See Spot Run (Finally): After Over a Decade of Rejections, SEC Approves 11 New Spot Bitcoin ETPs By Dan Davis James Brady Alex Kim Eleven spot bitcoin-based exchange-traded products (ETPs) were finally approved by the Securities and Exchange Commission (SEC) on...
Oct 20, 2023 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...
Aug 15, 2023 Join Katten for the 11th Annual Tax-Efficient Investing Program on September 13 By Jessica Anand CLICK HERE to register for this event. Industry-leading authority Henry Bregstein will moderate a half-day program on tax-efficient...
Jul 12, 2023 HM Treasury Shakes Up the Future of Short Selling in the UK By Christopher Collins Neil Robson On 11 July 2023, HM Treasury issued two publications on the future of the UK’s short-selling regime. The first publication was the UK...
Jul 10, 2023 Institutional Investment Managers Filing Form 13F Must Now Track and Report Executive Compensation Proxy Votes and Securities Lending Activities By David Dickstein On July 1, 2023, the first reporting period for disclosure on Form N-PX of proxy votes regarding certain executive compensation matters...