Carolyn H. Jackson

Carolyn H. Jackson

Katten Muchin Rosenman LLP

Contact  |  View Bio  |  RSS

Latest Publications

Share:

Corporate and Financial Weekly Digest - Volume XI, Issue 15

SEC/CORPORATE - SEC Publishes Concept Release Regarding Business and Financial Disclosure - On April 13, the Securities and Exchange Commission published a concept release, recommended by the SEC’s Division of...more

4/18/2016 - Covered Swap Entities (CSE) EU JOBS Act Loan Origination Funds MiFID II No-Action Letters Pension Schemes Regulation S-K UK

Corporate and Financial Weekly Digest - Volume XI, Issue 13

BROKER-DEALER - FINRA Proposes Amendment to Transactions in Exchange-Traded Managed Fund Shares Rule - On March 29, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a...more

4/4/2016 - Derivatives ESMA EU EU Market Abuse Regulation (EU MAR) Exchange-Traded Products FINRA

Draft RTS on Risk-Mitigation Procedures for OTC Derivatives Not Cleared by CCPs Published by EU Supervisory Authorities

On March 8, the European Supervisory Authorities (which includes the European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority) published...more

3/23/2016 - Derivatives EIOPA EMIR ESMA EU European Banking Authority Margin Requirements Risk Mitigation RTS

European Commission Adopts Equivalence Decision in Regards to US CFTC-Registered CCPs

On March 15, the European Commission (the Commission) adopted an equivalence decision in regards to US central counterparties (CCPs). The equivalence decision will allow CCPs authorized and registered with the Commodity...more

3/23/2016 - Central Counterparties CFTC EMIR Equivalency Determinations EU European Commission No-Action Relief

EU Commission Adopts Delegated Regulation on Abusive Practices and Suspicious Orders and Transactions Under MAR

On March 9, the European Commission adopted a delegated Regulation (and an accompanying Annex) in relation to the EU Market Abuse Regulation (MAR). The delegated Regulation sets out arrangements, systems and procedures and...more

3/23/2016 - ESMA EU European Commission Insider Trading Market Abuse Market Manipulation Reporting Requirements RTS Training Requirements

Corporate and Financial Weekly Digest - Volume XI, Issue 11

CFTC - CFTC Approves Final Rule Eliminating Certain Reporting and Recordkeeping Requirements for Trade Option End-Users - On March 16, the Commodity Futures Trading Commission unanimously approved a final rule...more

3/21/2016 - CFTC Derivatives Clearing Organizations EU Final Rules Market Abuse No-Action Relief Recordkeeping Requirements Risk Mitigation SEFs

European Commission Adopts Delegated Regulation To Require Mandatory Clearing of Certain Credit Default Swaps

On March 1, the European Commission (EC) adopted new rules in the form of a delegated regulation (Delegated Regulation) to impose clearing obligations on certain index credit default swaps (CDSs). The contracts captured by...more

3/9/2016 - Credit Default Swaps EMIR ESMA EU European Commission

Corporate and Financial Weekly Digest - Volume XI, Issue 9

SEC/CORPORATE - SEC Chair Addresses Advisory Committee on Small and Emerging Companies - On February 25, Securities and Exchange Commission Chair Mary Jo White addressed members of the SEC’s Advisory Committee on...more

3/7/2016 - Bonuses CRD IV Directive Credit Default Swaps Cybersecurity Disclosure Requirements Emerging Growth Companies EU Swap Clearing TRACE UCITS UK

EU Committee on Economic and Monetary Affairs Publishes Reports in Relation to MiFID II

As discussed in our Corporate & Financial Weekly Digest edition of February 12, 2016, on February 10, the European Commission (the Commission) announced proposals to provide for a one-year extension to the application dates...more

3/3/2016 - EU European Commission Information Reports MiFID II MiFIR

Corporate and Financial Weekly Digest - Volume XI, Issue 8

BROKER-DEALER - FINRA Requests Information Regarding Firm Culture and Values - The Financial Industry Regulatory Authority is requesting firms to submit information regarding their organizational culture and how...more

2/29/2016 - Banking Examinations Comptroller Corporate Culture Depository Institutions EU Examination Priorities ISDA MiFID II No-Action Letters Recordkeeping Requirements Security-Based Swaps Stress Tests UK

ESMA Publishes Discussion Paper on European Benchmarks Regulation

On February 15, the European Securities and Markets Authority (ESMA) published a discussion paper (ESMA/2016/288) (Discussion Paper) regarding implementation of the regulation on indices used as benchmarks in financial...more

2/25/2016 - Benchmarks Discussion Draft ESMA EU Regulation Technical Standards (RTS)

Corporate and Financial Weekly Digest - Volume XI, Issue 7

SEC/CORPORATE - SEC Advisory Committee on Small and Emerging Companies to Discuss Capital Formation Landscape for Small and Emerging Companies - The Securities and Exchange Commission announced that its Advisory...more

2/22/2016 - Benchmarks Capital Formation Emerging Growth Companies EU NFA No-Action Letters No-Action Relief Rule 14a-8 Swaps UK

European Commission Proposes One-Year Extension for MiFID II

On February 10, the European Commission (EC) announced its legislative proposal (Proposal) that would provide for a one-year extension to the application of the amended Markets in Financial Instruments Directive and the...more

2/17/2016 - EU European Commission MiFID II Time Extensions

ESMA Publishes Opinions on Pension Schemes To Be Exempt From EMIR Clearing Obligations

On February 2, the European Securities and Markets Authority (ESMA) published a set of opinions to exempt 16 UK-based pension schemes from clearing obligations contained in the European Market Infrastructure Regulation...more

2/11/2016 - EMIR ESMA EU Exemptions Pension Schemes UK

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

2/8/2016 - Crowdfunding Cybersecurity Deposit Insurance Derivatives Clearing Organizations Dodd-Frank ESMA Funding Portal Major Swap Participants MiFID II Pension Schemes

ESMA Publishes European Commission Letter on AIFMD Passport

On January 19, the European Securities and Markets Authority (ESMA) published on its website a letter it received from the European Commission (Commission), dated December 17, 2015. The letter is in response to guidance and...more

1/28/2016 - AIFMD ESMA EU EU Passport European Commission

Corporate and Financial Weekly Digest - Volume XI, Issue 3

SEC/CORPORATE - SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors - On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more

1/25/2016 - EU Fixing America’s Surface Transportation Act (FAST Act) Hart-Scott-Rodino Act Management Fees No-Action Relief REMIT Swaps

European Union Single Resolution Mechanism is Operational

On January 1, the Single Resolution Mechanism (SRM) became fully operational. The SRM implements the European Union Bank Recovery and Resolution Directive (BRRD). The SRM is designed to strengthen the resilience of the...more

1/14/2016 - BRRD EU European Commission

Corporate and Financial Weekly Digest - Volume XI, Issue 1

SEC/CORPORATE - PCAOB Adopts New Rules Requiring Disclosure of Participants in an Audit - On December 15, 2015, the Public Company Accounting Oversight Board (PCAOB) adopted new rules and related amendments to...more

1/11/2016 - Banking Sector C&DIs Examination Priorities Fixing America’s Surface Transportation Act (FAST Act) M&A Brokers Pay-To-Play PCAOB Regulation Technical Standards (RTS) SEC

ESMA Publishes Updated Q&A on AIFMD

On December 2, the European Securities and Markets Authority published an updated Questions and Answers (Updated Q&A) on the Alternative Investment Fund Managers Directive (AIFMD). The Updated Q&A focuses on Section III...more

12/17/2015 - AIFMD ESMA EU Financial Markets Reporting Requirements

Corporate and Financial Weekly Digest - Volume X, Issue 47

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

12/14/2015 - AIFMD CFTC Cybersecurity Disclosure Requirements Emerging Growth Companies ESMA EU FINRA Fixing America’s Surface Transportation Act (FAST Act) SEC

Clearing To Commence in the European Union in June 2016

On December 2, the European Securities and Markets Authority issued a press release stating that clearing as required under the European Market Infrastructure Regulation would commence on June 21, 2016. This date follows the...more

12/10/2015 - EMIR ESMA EU Financial Markets Interest Rate Swaps Technical Standards

Questions and Answers Concerning the Final Prudential Regulator Margin Rules for Non-Cleared Swaps

BACKGROUND - The five US prudential regulators for swaps (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the Currency, the Farm Credit Administration and the...more

12/9/2015 - Covered Swap Entities (CSE) Financial Markets Margin Requirements Non-Cleared Swaps Swap Dealers

Corporate and Financial Weekly Digest - Volume X, Issue 46

SEC/CORPORATE - Proxy Advisory Firms Release Policy Updates for 2016 - Institutional Shareholder Services (ISS) and Glass Lewis, two leading proxy advisory firms, recently published their 2016 proxy voting...more

12/7/2015 - Banking Sector Broker-Dealer CFTC EU FINRA MiFID II OCC Overboarding Proxy Voting Guidelines SEC Shareholder Proposals Waiting Periods

ESMA Issues Public Statement on Collateralization of Bank Guarantees for Energy Derivatives

On November 19, the European Securities and Markets Authority (ESMA) issued a public statement (Public Statement) regarding its decision not to extend the current three year grace period which permits non-financial firms to...more

11/25/2015 - Bank Guarantees Derivatives EMIR Energy Sector ESMA

100 Results
|
View per page
Page: of 4

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×