Carolyn H. Jackson

Carolyn H. Jackson

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume XI, Issue 20

SEC/CORPORATE - SEC Division of Corporation Finance Issues 12 New and Revised C&DIs Regarding Non-GAAP Measures - As noted in the May 13 edition of Corporate and Financial Weekly Digest, SEC Chair Mary Joe White,...more

5/23/2016 - Auditors C&DIs Cybersecurity EU Financial Conduct Authority (FCA) Mary Jo White MiFID MiFIR Non-GAAP Financial Measures PCAOB Residual Interest SEC UK

Corporate and Financial Weekly Digest - Volume XI, Issue 19

SEC/CORPORATE - SEC Approves PCAOB Rules Requiring Disclosure of Audit Participants - On May 9, the Securities and Exchange Commission adopted the proposed new rules and related amendments to auditing standards...more

5/16/2016 - Audits Commodities Exchange Act EU MiFID II MiFIR Non-GAAP Financial Measures PCAOB Regulation Technical Standards (RTS) Stock Options UCITS

Corporate and Financial Weekly Digest - Volume XI, Issue 18

SEC/CORPORATE - SEC Approves Amendments to Implement Provisions of the JOBS Act and FAST Act - On May 3, the Securities and Exchange Commission approved amendments to revise certain rules under the Securities...more

5/9/2016 - CFPB Crowdfunding EU Fixing America’s Surface Transportation Act (FAST Act) G-SIB ISDA JOBS Act Mandatory Arbitration Clauses MiFID II Regulation Technical Standards (RTS)

Corporate and Financial Weekly Digest - Volume XI, Issue 17

BROKER-DEALER - SEC Modifies and Extends Pilot Program for NMS Plan to Address Extraordinary Market Volatility - The Securities and Exchange Commission has issued an order that modifies and extends the National...more

5/2/2016 - Alternative Trading Systems Capital Markets Union ECON EU Financial Conduct Authority (FCA) MiFID II Regulation NMS Virtual Currency

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 EU EU Market Abuse Regulation (EU MAR) European Securities and Markets Authority (ESMA) 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 EU European Banking Authority European Securities and Markets Authority (ESMA) 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 - EU European Commission European Securities and Markets Authority (ESMA) 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 EU European Commission European Securities and Markets Authority (ESMA)

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 EU European Securities and Markets Authority (ESMA) 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 EU European Securities and Markets Authority (ESMA) 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 European Securities and Markets Authority (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 EU EU Passport European Commission European Securities and Markets Authority (ESMA)

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 EU European Securities and Markets Authority (ESMA) 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 EU European Securities and Markets Authority (ESMA) FINRA Fixing America’s Surface Transportation Act (FAST Act) SEC

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