18 Oct, 2024 Counting Down to DORA Compliance: Recent Developments By Nathaniel Lalone Ciara McBrien With less than three months remaining until the implementation date of the EU Digital Operational Resilience Act (DORA), this note...
02 Oct, 2024 A Greener Tomorrow: CFTC Issues Final Guidance for Listing Voluntary Carbon Credit Derivatives By Carl Kennedy After five years of consultations, public meetings and roundtable discussions, the Commodity Futures Trading Commission (CFTC or...
24 Sep, 2024 FCA Consults on Guidance for UK Trade Repositories’ UK EMIR Reporting Requirements By Carolyn Jackson Ciara McBrien On 4 September, the Financial Conduct Authority (FCA) published a website seeking feedback (Consultation) on draft questions and answers...
16 Sep, 2024 UK Parliament Introduces Bill Categorising Certain Digital Assets as “Personal Property” By Carolyn Jackson Nathaniel Lalone Neil Robson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 11 September 2024, the Property (Digital Assets etc) Bill (Bill) was introduced to the House of Lords and received its first reading....
05 Sep, 2024 CFTC’s Uniswap Settlement Sparks Debate on DeFi Regulation By Dan Davis Alex Kim The Commodity Futures Trading Commission (CFTC) continues to expand its regulatory reach in the decentralized finance (DeFi) space, this...
05 Sep, 2024 FinCEN Adopts Final Rule: AML Programs for Investment Advisers By Adam Bolter On August 28, the US Department of the Treasury’s (Treasury Department) Financial Crimes Enforcement Network (FinCEN) issued a final rule...
16 Aug, 2024 SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know By Michael Diver Susan Light Wayne Aaron Lindsey Smith David Luger David Goldberg +3 more... Show less In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...
15 Aug, 2024 Crypto Compliance in Focus: FINRA Unveils Key Insights on Member Firms’ Digital Asset Activities By Susan Light James Brady Alex Kim The Financial Industry Regulatory Authority (FINRA) released a comprehensive update on its insights into its member firms’ involvement in...
12 Aug, 2024 Court Denies SEC’s Request for Disgorgement in Ripple Case By Dan Davis Alex Kim In a setback to the Securities and Exchange Commission’s (SEC) crypto enforcement efforts, a federal court has denied the agency’s...
09 Aug, 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...
09 Aug, 2024 FCA Consults on Proposals for the UK Wholesale Markets By Carolyn Jackson Nathaniel Lalone Neil Robson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 26 July 2024, the Financial Conduct Authority (FCA) published three consultations in relation to: the new Public Offers and Admission...
02 Aug, 2024 Artists Sue SEC, Challenging Agency’s Authority Over Digital Art and NFTs By Alex Kim Two artists have filed a lawsuit against the Securities and Exchange Commission (SEC), contesting the agency’s assertion of authority...
01 Aug, 2024 ABA Weighs in on Generative AI Use in Legal Practice By Michael Justus Alex Kim The American Bar Association’s (ABA) Standing Committee on Ethics and Professional Responsibility issued Formal Opinion 512, attempting...
31 Jul, 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...
29 Jul, 2024 FCA Publishes Policy Statement on UK Overseas Funds Regime By Neil Robson Christopher Collins Ciara McBrien On 17 July 2024, the Financial Conduct Authority (FCA) published a policy statement (PS24/7) setting out the final rules and guidance...
22 Jul, 2024 Spring 2024 Agenda of Regulatory Actions Published: SEC Spotlight By Adam Bolter Twice each year, the Office of Information and Regulatory Affairs publishes the semi-annual “Unified Agenda of Regulatory and...