Nathaniel W. Lalone

Nathaniel W. Lalone

Katten Muchin Rosenman LLP

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Brexit: Implications for the Financial Services Industry

The UK has voted to cease being an EU member state. Yesterday, June 23, 2016, the UK held a referendum on its future in the European Union (EU)—the "Brexit". The result this morning shows that 51.9% of voters in the UK...more

6/24/2016 - Bilateral Agreements Cross-Border Transactions EEA EU Financial Institutions Member State Referendums Trade Agreements UK Brexit WTO

Corporate and Financial Weekly Digest - Volume XI, Issue 24

SEC/CORPORATE - DC Circuit Court Rejects States’ Challenge of Blue Sky Preemption Under Regulation A+ - On June 14, the Federal Court of Appeals for the District of Columbia (the DC Circuit) rejected challenges...more

6/20/2016 - Blue Sky Laws Central Counterparties Credit Default Swaps Derivatives Clearing Organizations Futures Margin Requirements No-Action Relief Preemption Regulation A Reporting Requirements Third Country Entities

Corporate and Financial Weekly Digest - Volume XI, Issue 21

SEC/CORPORATE - SEC Releases Target Dates for Proposed and Final Rulemaking - The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking...more

5/31/2016 - Cross-Border Transactions Deposit Accounts EU European Union Delegated Act (EUDA) FDIC Margin Requirements MiFID II Recordkeeping Requirements Rulemaking Process SEC UK

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 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 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 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more

4/11/2016 - CFTC Corporate Governance EU Exchange-Traded Products FDIC Filing Requirements FINRA Guidance Update MiFIR Natural Gas Remuneration Swaps UCITS V

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

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

ISDA Publishes Principles for US and EU Trading Platform Recognition

On February 24, the International Swaps and Derivatives Association Inc. (ISDA) published Principles for US/EU Trading Platform Recognition (Principles), which set out certain key principles and policy considerations that...more

3/3/2016 - CFTC EU IOSCO ISDA Regulatory Standards SEFs

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

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

ACER announces 11th Public Workshop on REMIT Implementation

On January 15, Europe’s Agency for the Cooperation of Energy Regulators (ACER) announced its 11th Public Workshop (Workshop) on the implementation of the European Union’s Regulation on Wholesale Energy Market Integrity and...more

1/28/2016 - Energy Sector EU Market Abuse REMIT

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

ESMA Reopens Consultation on Indirect Clearing Arrangements

On November 5, the European Securities and Markets Authority (ESMA) published a consultation paper relating to indirect clearing arrangements (CP). The CP consists of a review of the existing regulatory technical standards...more

11/19/2015 - Derivatives Derivatives Clearing Organizations EU European Securities and Markets Authority (ESMA) MiFID II Regulation Technical Standards (RTS)

Corporate and Financial Weekly Digest - Volume X, Issue 44

BROKER-DEALER - FINRA Issues Investor Alert Regarding IRS Phone Scam - The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more

11/16/2015 - CPOs EU FFIEC FINRA Form PQR Internal Investigations Major Swap Participants MiFID II Risk Management Tax Scams UK Volcker Rule

European Supervisory Authorities Consult on AML-CFT Guidelines

On October 21, the joint committee of the three European Supervisory Authorities (ESAs, comprising the European Banking Authority, the European Securities and Markets Authority, and the European Insurance and Occupational...more

10/29/2015 - AML-CTF Consultation Consultation Periods EU European Banking Authority FATF Money Laundering Terrorism Funding

Corporate and Financial Weekly Digest - Volume X, Issue 41

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-CTF Banks Capital Formation Deposit Insurance EU European Banking Authority European Securities and Markets Authority (ESMA) FDIC JOBS Act Margin Requirements Regulation Technical Standards (RTS) SEC Small Business Startups Uncleared Swaps

ESMA Publishes Final Report and Draft Regulatory and Implementing Technical Standards on MiFID II and MiFIR

On September 28, the European Securities and Markets Authority (ESMA) published a final report (Report) containing draft regulatory and implementing technical standards (Standards) on the revised EU Markets in Financial...more

10/9/2015 - Commodities Derivatives EU European Securities and Markets Authority (ESMA) Financial Institutions Information Reports MiFID II MiFIR Regulation Technical Standards (RTS) Technical Standards

ESMA Publishes Final Report and Draft Technical Standards on New EU Market Abuse Rules

On September 28, the European Securities and Markets Authority (ESMA) published a final report (Report) containing draft regulatory technical standards (RTS) and implementing technical standards (ITS) on the new EU Market...more

10/9/2015 - EU European Commission European Securities and Markets Authority (ESMA) Technical Standards Trade Market Abuse

Securities Financing Transactions Regulation: Shining a Light on Shadow Banking

On June 29, 2015, the Council of the European Union announced that its Committee of Permanent Representatives (Coreper) approved a final compromise text of the proposed regulation on reporting and transparency of securities...more

8/18/2015 - Banking Sector Counterparties Equity Financing EU European Commission Financing Proposed Regulation Regulatory Standards Shadow Banking Transparency

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