05 Apr, 2024 Private Fund Adviser Rule Q&A: Spotlight On Restricted Activities By Adam Bolter Wendy Cohen Allison Yacker Christian Hennion Nicholas Gervasi +2 more... Show less Editorial Note: In follow up to our summary on the SEC's new private fund adviser rules, Katten attorneys share their views on...
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...
26 Feb, 2024 Ensuring Everything Is Above Board: CFTC Proposes Simplified Rules for SEF and DCM Governance, Independence and Mitigating Conflicts of Interest By Nicholas Gervasi Carl Kennedy Seeking to ensure that designated contract markets (DCMs) and swap execution facilities (SEFs) adequately incorporate an independent...
16 Feb, 2024 FinCEN AML Alert: SEC Investment Advisers Again in Focus By Adam Bolter Nicholas Gervasi On February 13, the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) proposed to expand anti-money...