Katten - Your business drives us. Results define us.

12/24/2025 10:18:05 AM

HM Treasury and FCA Publish Comprehensive Cryptoasset Regulatory Framework

By Christopher Collins Carolyn Jackson Nathaniel Lalone +2 more...

On 16 December 2025, the Financial Conduct Authority (FCA) published a comprehensive set of proposals to formally regulate the...

12/23/2025 12:47:42 PM

FCA Consults on Reforms to Client Categorisation and Conflicts of Interest Rules

By Christopher Collins Carolyn Jackson Nathaniel Lalone +2 more...

On 8 December 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/36) proposing significant changes to the...

12/19/2025 10:38:14 PM

Marketing Rule Under the Microscope: New SEC Exam Findings

By Adam Bolter Michael Didiuk Richard Marshall

The SEC's Division of Examinations' staff (Staff) issued a Risk Alert on December 16, highlighting additional observations on investment...

12/19/2025 10:02:02 PM

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

By Wayne Aaron Michael Didiuk

On Wednesday, December 17, the SEC’s Division of Trading and Markets (Division) issued a helpful statement (the Statement) to clarify its...

12/17/2025 7:05:33 PM

SEC Risk Alert on the Advisers Act Marketing Rule

By Richard Marshall

On December 16, the Securities and Exchange Commission (SEC) published a risk alert on the adviser marketing rule. This is the first...

12/17/2025 6:56:42 PM

Speech by Director of Division of Investment Management Signals Key Priorities

By Richard Marshall

On December 2, Brian Daly, the new Director of the Division of Investment Management for the Securities and Exchange Commission (SEC),...

12/17/2025 6:37:22 PM

SEC Extends Relief Allowing Brokers to Rely on Advisers for AML Compliance

By Richard Marshall

Earlier this year, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) adopted rules imposing anti-money...

12/17/2025 6:07:20 PM

New SEC Cybersecurity Rules Begin to Take Effect

By Richard Marshall

On May 16, 2024, the Securities and Exchange Commission (SEC) unanimously approved amendments to Regulation S-P, which imposes new rules...

12/17/2025 5:28:47 PM

European Commission Announces Legislative Package to Advance EU Financial Market Integration

By Christopher Collins Carolyn Jackson Nathaniel Lalone +2 more...

On 4 December 2025, the European Commission (EC) released a comprehensive package of measures aimed at removing barriers and enhancing...

12/3/2025 4:28:34 PM

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 28 November 2025, the Financial Conduct Authority (FCA) published a policy statement (PS25/17) finalising rules proposed in its July...

12/2/2025 11:26:44 PM

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

By Carl Kennedy Matt Kluchenek Zachary Schmitz

For years, the Commodity Futures Trading Commission (CFTC or Commission) has exercised broad discretion in investigating and prosecuting...

11/26/2025 4:06:04 PM

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

By Christopher Collins Carolyn Jackson Nathaniel Lalone +3 more...

On 21 November 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/32) setting out proposed reforms to the...

11/21/2025 12:06:18 PM

UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

By Carolyn Jackson Ciara McBrien James Wells

On 5 November 2025, HM Treasury (HMT) published a draft statutory instrument, the Over-the Counter-Derivatives (Intragroup Transactions)...

11/19/2025 5:42:54 PM

FINRA Case Involving Gifts and Entertainment

By Richard Marshall

On October 21, the Financial Industry Regulatory Authority (FINRA) filed a settled enforcement action involving allegedly improper gifts...

11/19/2025 5:38:29 PM

State Regulators Announce Enforcement Priorities

By Richard Marshall

On October 16, the North American Securities Administrators Association (NASAA) published the enforcement priorities for state securities...

11/19/2025 5:32:56 PM

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

By Richard Marshall

Recent developments indicate a dual focus on regulatory reform for public companies, with the SEC Chairman Paul Atkins prioritizing...

List Professionals Alphabetically

Search Professionals

HM Treasury and FCA Publish Comprehensive Cryptoasset Regulatory Framework

FCA Consults on Reforms to Client Categorisation and Conflicts of Interest Rules

Marketing Rule Under the Microscope: New SEC Exam Findings

SEC Staff Issues Helpful Guidance on Custodying Digital Asset Securities and Complying with the Customer Protection Rule

SEC Risk Alert on the Advisers Act Marketing Rule

Speech by Director of Division of Investment Management Signals Key Priorities

SEC Extends Relief Allowing Brokers to Rely on Advisers for AML Compliance

New SEC Cybersecurity Rules Begin to Take Effect

European Commission Announces Legislative Package to Advance EU Financial Market Integration

FCA Publishes Final Rules on Systematic Internaliser Regime for Bonds and Derivatives and Matched Principal Trading by MTF Operators

All’s Well That Ends Well: The CFTC Amends Its Wells Notice Process and Other Rules of Practice for the Better

Improving UK Transaction Reporting: FCA Consults on Streamlined Framework

UK EMIR Update: Intragroup Exemption Consultations and Additional Q&As

FINRA Case Involving Gifts and Entertainment

State Regulators Announce Enforcement Priorities

SEC Chairman Prioritizes Public Offering Reforms; Trump Signals Renewed Scrutiny of Proxy Advisers

Contact Us

Legal Notices