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On 30 September 2025, the Financial Conduct Authority (FCA) published three updates in connection with the Consumer Duty (the Duty): (i)...
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On 30 September 2025, the Financial Conduct Authority (FCA) published issue 84 of Market Watch (Issue 84), providing a one-year review of...
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The Securities and Exchange Commission (SEC) issued a conditional exemptive order that grants targeted relief from several requirements...
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In what the agencies are touting as “a new era of collaboration” and “a new day for US capital markets,” the Securities and Exchange...
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Are you operating as a financial services business? Are you aware of the new cybersecurity rules that will soon apply to New...
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The Financial Conduct Authority (FCA) has published a consultation (CP25/25) on the application of the FCA Handbook to regulated...
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The Katten Financial Markets and Funds team is dedicated to keeping you informed about the latest legal and regulatory changes related to...
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The Katten Financial Markets and Funds team is dedicated to keeping you informed about the latest legal and regulatory changes related to...
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The Securities and Exchange Commission (the SEC or the Commission) recently released its Spring 2025 Unified Agenda of Regulatory and...
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State attorneys general are increasingly active in regulating the cryptocurrency industry, stepping in with enforcement actions that...
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Amid “recent confusion and disruption regarding whether non-US exchanges should register [with the Commodity Futures Trading Commission...
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The UK Financial Conduct Authority (FCA) has recently published the findings of its latest multi-firm review (the Review), assessing ten...
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In 2024, the United States Securities and Exchange Commission (SEC) adopted “EDGAR Next,” which involved amendments intended to provide...
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On 1 August 2025, the Financial Conduct Authority (FCA) issued a press release (the Press Release) announcing that UK retail consumers...
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Staff from the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight issued No-Action Relief Letter 25-25 on July...
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The US Court of Appeals for the Eleventh Circuit (Eleventh Circuit) recently vacated the Securities and Exchange Commission’s (SEC) 2023...