On December 2, Larry Levin and Alyse Sagalchik, partners in Katten's Capital Markets practice, along with Ernst & Young LLP and Meridian Compensation Partners (Meridian), shared updates for the 2022 proxy season as part of...more
12/28/2021
/ Board of Directors ,
Climate Change ,
Corporate Governance ,
Diversity ,
Proxy Season ,
Proxy Statements ,
Publicly-Traded Companies ,
Risk Factors ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Shareholders
Capital Markets Compass covers the latest developments in the capital markets, public company, and corporate governance worlds.
...more
BROKER-DEALER -
FINRA Proposes Rule Change Relating to Rule 4512 (Customer Account Information)
On November 28, the Financial Industry Regulatory Authority filed a proposed change to Rule 4512(a)(3) (Customer Account...more
12/10/2018
/ Corporate Governance ,
ECON ,
EMIR ,
EU ,
Nasdaq ,
Privacy Notice Rule ,
Proposed Amendments ,
Proxy Season ,
Securitization ,
SEFs ,
Swaps ,
UK ,
UK Brexit
BROKER-DEALER -
FINRA Requests Further Comments on the Effectiveness and Efficiency of Its Payments for Market Making Rule -
On November 28, as part a retrospective rule review, the Financial Industry Regulatory...more
FASB Ceases Work on Proposal To Amend Definition of “Materiality” for US GAAP -
As previously discussed in the September 1edition of Corporate & Financial Weekly Digest, the Financial Accounting Standards Board (FASB) had...more
12/4/2017
/ C&DIs ,
Corporate Governance ,
Due Diligence ,
FinCEN ,
GAAP ,
Institutional Shareholder Services (ISS) ,
Proxy Season ,
Proxy Voting Guidelines ,
Rule 701 ,
UK Brexit ,
Virtual Currency
ISS Releases 2017 Proxy Voting Guideline Updates -
On November 21, ISS published its 2017 Proxy Voting Guideline Updates, which will be in effect for meetings held on or after February 1, 2017. The US 2017 updates cover...more
12/5/2016
/ C&DIs ,
CFTC ,
EU ,
European Commission ,
Financial Conduct Authority (FCA) ,
Forex ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
NFA ,
Proxy Season ,
UK ,
UK Brexit
SEC/CORPORATE -
SEC Division of Corporation Finance Issues Revised and Additional C&DIs Relating to Form S-8 -
On November 9, the Division of Corporation Finance of the Securities and Exchange Commission issued two...more
11/21/2016
/ Banking Sector ,
Broker-Dealer ,
C&DIs ,
CCPs ,
CFTC ,
Derivatives Clearing Organizations ,
EMIR ,
EU ,
European Securities and Markets Authority (ESMA) ,
FDIC ,
Proxy Season ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
SRO ,
Stress Tests
SEC Issues New C&DI Relating to Submission of Annual Reports to SEC -
On November 2, the Division of Corporation Finance (Division) of the Securities and Exchange Commission issued a new Compliance and Disclosure...more
11/14/2016
/ C&DIs ,
Canada ,
Chief Compliance Officers ,
Corporate Governance ,
EU ,
Forex ,
MiFID II ,
MiFIR ,
Passporting ,
Pay-for-Performance ,
Proxy Season ,
UK ,
UK Brexit