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...
09 Jul, 2024 Ether’s Legal Status Clarified? CFTC Scores Win as Court Backs Agency’s Commodity Classification By Dan Davis Gary DeWaal Alex Kim In a victory for the Commodity Futures Trading Commission (CFTC), a federal court has granted summary judgment in favor of the agency in...
02 Jul, 2024 SEC Targets Crypto Infrastructure Provider: Consensys Charged with Operating Unregistered Broker and Selling Unregistered Securities By Dan Davis Gary DeWaal Alex Kim In a significant escalation of its crypto enforcement efforts, the Securities and Exchange Commission (SEC) has filed charges against...
01 Jul, 2024 A Timely Reminder from CME Market Regulation of the Broad Reach of the Duty to Supervise By Stephen Morris The CME has issued a revised Market Regulation Advisory Notice on Supervisory Responsibilities for Employees and Agents that includes a...
20 Jun, 2024 Redefining Limits: The CFTC's Updated Block and Cap Sizes for 2024 By Carl Kennedy Nicholas Gervasi The Division of Data (DOD) of the Commodity Futures Trading Commission (CFTC or the Commission) published updated post-initial...
17 Jun, 2024 CFTC Chairman Behnam Discusses the Regulatory Outlook Towards Voluntary Carbon Markets By Johnjerica Hodge India Williams Nicholas Gervasi Commodity Futures Trading Commission (CFTC) Chairman Rostin Behnam recently spoke about voluntary carbon markets (VCMs) in a speech...
06 Jun, 2024 Vacation Alert: Fifth Circuit Vacates Private Fund Adviser Rules By Adam Bolter On June 5, the Fifth Circuit Court of Appeals (Court) vacated the entire set of private fund adviser rules adopted by the Securities and...
17 May, 2024 Private Fund Adviser Rule Q&A: Spotlight on Preferential Treatment By Wendy Cohen Adam Bolter Christian Hennion Allison Yacker Lance Zinman +2 more... Show less Editorial Note: In a follow-up to our summary of the SEC’s new private fund adviser rule, Katten attorneys share their views on...
15 May, 2024 Codifying and Demystifying: The CFTC Adopts Amendments to Capital and Financial Reporting Requirements for Swap Dealers Largely Based on Prior Relief By Carl Kennedy Robert Bourret After adopting final rules in 2020, the Commodity Futures Trading Commission (CFTC) adopted amendments to the capital and financial...
15 May, 2024 FinCEN AML Alert Part 2: Customer Identification Program Requirements for Investment Advisers By Adam Bolter Nicholas Gervasi On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network...
15 May, 2024 UK Regulators Publish Final Securitisation Rules By Christopher Collins Peter Englund Neil Robson Nathaniel Lalone Ciara McBrien Sara Portillo +3 more... Show less On 30 April 2024, the Financial Conduct Authority (FCA) published a policy statement (PS24/4) setting out its final firm-facing rules...
14 May, 2024 OFSI Publishes FAQS on UK Financial Sanctions By Neil Robson Carolyn Jackson Nathaniel Lalone Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 1 May 2024, the UK Office of Financial Sanctions Implementation (OFSI) published a new set of Frequently Asked Questions (FAQs). The...
03 May, 2024 FIX(ML)ing the Data Submission Standard: The CFTC’s Large Trader Rules Get a Makeover By Stephen Morris Nicholas Gervasi Part 17 of the CFTC’s regulations require futures commission merchants, clearing members of registered derivatives clearing...
03 May, 2024 European Parliament Adopts Corporate Sustainability Due Diligence Directive By Neil Robson Ciara McBrien Sara Portillo On 24 April 2024, the European Parliament (Parliament) formally adopted at first reading the final text of the Corporate Sustainability...
03 May, 2024 UK Regulator Updates its Approach to AI and Sets a 12-Month Plan By Neil Robson Sara Portillo The UK’s Financial Conduct Authority (FCA) has recently published an update (the Update) on its approach to artificial intelligence (AI)...
23 Apr, 2024 Whistleblower Rewards Program Update: DOJ Explains and Expands Pilot Program for Voluntary Disclosures By Ryan Meyer Ryan Dean On April 15, the Department of Justice (DOJ) publicly released a memorandum fleshing out its previously announced corporate whistleblower...