UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more
7/24/2024
/ Artificial Intelligence ,
Banking Sector ,
Banks ,
Employer Liability Issues ,
EU ,
European Data Protection Board (EDPB) ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Services Industry ,
Tax Liability ,
UK
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more
On 20 December 2023, the Financial Conduct Authority (FCA) published a statement (Statement) providing an update on the ancillary activities exemption (AAE) for commodity derivatives for 2024-2025....more
On 4 December 2023, the Financial Conduct Authority (FCA) published a consultation paper (CP23/27) on reforming the UK commodity derivatives regulatory framework (Framework). CP23/27 sets out the FCA’s proposals regarding...more
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more
On 24 October 2023, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) (together, the Regulators) published their joint policy statement (Policy Statement) to remove the existing limits on the...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
CFTC -
CFTC Adopts New Position Limits Requirements -
On October 15, the Commodity Futures Trading Commission adopted new rules on position limits. As described in greater detail in Katten’s advisory, CFTC Adopts New...more
10/19/2020
/ Banks ,
CFTC ,
Enforcement Actions ,
EU ,
European Parliament ,
Federal Reserve ,
Financial Conduct Authority (FCA) ,
Popular ,
Prudential Regulation Authority (PRA) ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
SEC Approves NYSE Rule to Facilitate Listing Without an IPO -
On February 2, the Securities and Exchange Commissions approved a New York Stock Exchange (NYSE) rule change that facilitates the listing...more
2/13/2018
/ Banks ,
Broker-Dealer ,
Derivatives ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
General Data Protection Regulation (GDPR) ,
Government Securities ,
Listing Rules ,
Margin Requirements ,
MiFID II ,
NYSE ,
OCIE ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Short Selling ,
Swaps ,
UK
SEC/CORPORATE -
SEC To Hold Forum on Small Business Capital Formation in November -
On October 21, the Securities and Exchange Commission announced that it will hold its annual Government - Business Forum on Small...more
10/26/2015
/ AML/CFT ,
Banks ,
Capital Formation ,
Deposit Insurance ,
EU ,
European Banking Authority (EBA) ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
JOBS Act ,
Margin Requirements ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Startups ,
Uncleared Swaps
On December 5, the Basel Committee on Banking Supervision (Committee) published separate reports assessing the implementation of the Basel III capital framework in the United States and the European Union. The Committee...more
In this issue:
- Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements
- SEC Approves MSRB Best Execution Rule
- SEC Sanctions Operator of Unregistered Virtual...more
12/15/2014
/ Banks ,
Basel Committee on Banking Supervision (BCBS) ,
Bitcoin ,
Currency Exchange ,
Cybersecurity ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Insider Trading ,
Investors ,
MiFID ,
MSRB ,
Proxy Season ,
Proxy Statements ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Shareholders ,
Virtual Currency
In this issue:
- ISS Announces Launch of QuickScore 3.0
- SEC Provides Relief to GSEC From Rule 204 Close-Out Requirements
- CFTC Extends Relief to FCMs from Certain Commingling Requirements
-...more
11/3/2014
/ Banks ,
CCPs ,
CFTC ,
Class Action ,
Commingling ,
Commodities ,
Compliance ,
EMIR ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Fixed Income Investments ,
Flood Insurance ,
Foreign Banks ,
Foreign Exchanges ,
Futures Commission Merchants (FCMs) ,
Institutional Shareholder Services (ISS) ,
OCC ,
Risk Retention ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
UK
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK