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...
06 Mar, 2024 The 'Effective Spread' of Order Execution Quality Reporting By Wayne Aaron On March 6, 2024, by unanimous vote, the Securities and Exchange Commission (SEC) adopted changes to Rule 605 under Regulation NMS, the...
27 Feb, 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...
12 Feb, 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...
07 Feb, 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...
04 Jan, 2024 Neither a Borrower Nor a Lender Be! By Susan Light FINRA filed a rule amendment with the SEC on January 2 to propose amending FINRA Rule 3240, Borrowing From or Lending to Customers...
21 Dec, 2023 FCA Publishes Update on UK Market Share Test for Ancillary Activities Exemption 2024-2025 By Carolyn Jackson Ciara McBrien On 20 December 2023, the Financial Conduct Authority (FCA) published a statement (Statement) providing an update on the ancillary...
21 Dec, 2023 FCA Consults on UK Commodity Derivatives Regulatory Framework Reform By Carolyn Jackson Ciara McBrien On 4 December 2023, the Financial Conduct Authority (FCA) published a consultation paper (CP23/27) on reforming the UK commodity...
21 Dec, 2023 UK Regulators Publish Policy Statement on Margin Requirements for Non-Centrally Cleared Derivatives By Carolyn Jackson Ciara McBrien On 18 December 2023, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) (together, the Regulators) published...
29 Nov, 2023 The FCA Publishes Guidance Consultation on Anti-Greenwashing By Neil Robson Sara Portillo On 28 November 2023, the Financial Conduct Authority (FCA) published its Policy Statement on Sustainability Disclosure Requirements (SDR)...
27 Nov, 2023 Artificial Intelligence and Machine Learning Across the UK, EU and US: Bridging the Regulatory Divide By Neil Robson Ciara McBrien Sara Portillo On 8 November 2023, Neil Robson, a partner in the Financial Markets and Funds practice, moderated a panel discussion on the regulatory...
22 Nov, 2023 FINRA Acts to Update its Advertising Rule By Susan Light The Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission on November 13,...
17 Nov, 2023 UK Regulators Publish Updates for the Regulation of Fiat-Backed Stablecoins By Neil Robson Nathaniel Lalone Carolyn Jackson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 6 November 2023, the Bank of England (BoE) published a discussion paper on the “Regulatory Regime for Systemic Payment Systems Using...
17 Nov, 2023 UK Confirms Proposals for the Future Financial Services Regulatory Rules for Cryptoassets By Neil Robson Nathaniel Lalone Carolyn Jackson Christopher Collins Ciara McBrien Sara Portillo +3 more... Show less On 30 October 2023, HM Treasury (HMT) published a response (the Response) to its February 2023 consultation and call for evidence on its...
15 Nov, 2023 UK Government Publishes a Response to its Consultation – Failure or Success? By Neil Robson Christopher Collins Sara Portillo On 30 October 2023, HM Treasury (HMT) published a response to its May 2022 consultation (the Consultation) on its approach to managing...
20 Oct, 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...