Katten - Your business drives us. Results define us.

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...

11/17/2025 10:06:01 PM

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

By Susan Light Alex Kim

Securities and Exchange Commission (SEC) Chairman Atkins recently spoke at Fordham Law School for the “25th Annual A.A. Sommer, Jr....

11/4/2025 4:55:44 PM

Court Dismisses Overly-Technical Claim That FDCPA Applies to Communications With Vendors Mailing Collection Letters

By Ted Huffman

The Fair Debt Collection Practices Act (FDCPA) imposes various requirements on debt collectors aimed to protect consumers’ privacy rights...

11/3/2025 2:37:09 PM

Keeping it Short: FCA Consults on Implementation of Streamlined UK Short Selling Regime

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

On 28 October 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/29) proposing significant changes to the...

10/29/2025 6:11:24 PM

Regulatory Compliance in Leveraged ETF Sales Practices

By Michael Diver Richard Marshall Alex San Martin

The Wall Street Journal reported last week that “Popular Leveraged Funds Shock Investors With Huge Losses.” It is important to...

10/29/2025 2:19:57 PM

FCA Sets Out T+1 Settlement Expectations for UK Asset Managers and Alternative Firms

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

On 23 October 2025, the Financial Conduct Authority (FCA) published a letter directed at firms within its Asset Management and...

10/21/2025 1:06:30 PM

FCA Consults on Fund Tokenisation and Direct Dealing

By Christopher Collins Ryan Hansen Thomas Laurer +5 more...

On 14 October 2025, the Financial Conduct Authority (FCA) published a consultation paper (CP25/28) setting out proposals to advance fund...

10/20/2025 11:26:05 AM

UK Regulators Transfer MiFID Organisational Regulation into Domestic Rulebooks

By Carolyn Jackson Nathaniel Lalone Neil Robson +3 more...

On 9 October 2025, the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) published policy statements PS25/13...

10/6/2025 10:04:35 AM

FCA Publishes Updates on Clarifying and Streamlining the UK Consumer Duty

By Christopher Collins Neil Robson Sara Portillo +1 more...

On 30 September 2025, the Financial Conduct Authority (FCA) published three updates in connection with the Consumer Duty (the Duty): (i)...

10/3/2025 3:08:45 PM

FCA Publishes Market Watch Issue 84 on UK EMIR Refit Implementation

By Carolyn Jackson Christopher Collins Ciara McBrien +1 more...

On 30 September 2025, the Financial Conduct Authority (FCA) published issue 84 of Market Watch (Issue 84), providing a one-year review of...

List Professionals Alphabetically

Search Professionals

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

SEC Chairman Calls for a Fairer Wells Process: Reinforcing Due Process and Transparency in Enforcement

Court Dismisses Overly-Technical Claim That FDCPA Applies to Communications With Vendors Mailing Collection Letters

Keeping it Short: FCA Consults on Implementation of Streamlined UK Short Selling Regime

Regulatory Compliance in Leveraged ETF Sales Practices

FCA Sets Out T+1 Settlement Expectations for UK Asset Managers and Alternative Firms

FCA Consults on Fund Tokenisation and Direct Dealing

UK Regulators Transfer MiFID Organisational Regulation into Domestic Rulebooks

FCA Publishes Updates on Clarifying and Streamlining the UK Consumer Duty

FCA Publishes Market Watch Issue 84 on UK EMIR Refit Implementation

Contact Us

Legal Notices