Nathaniel W. Lalone

Nathaniel W. Lalone

Katten Muchin Rosenman LLP

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Latest Publications


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 ESMA EU 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/CFT 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/CFT Banks Capital Formation Deposit Insurance ESMA EU European Banking Authority 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 ESMA EU 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 - ESMA EU European Commission Technical Standards Trade Market Abuse

Corporate and Financial Weekly Digest - Volume X, Issue 38

SEC/CORPORATE - ISS Publishes Results of 2015–2016 Annual Global Policy Survey - On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016...more

10/5/2015 - Banks Broker-Dealer Bylaws CEOs CFPB CFTC Consumer Lenders Corporate Governance Derivatives Derivatives Clearing Organizations Director Compensation ESMA EU FFIEC FINRA GAAP Independent Boards ISS Liquidity Risk Management Rule Proxy Access Rule Proxy Season Regulation Technical Standards (RTS) SEC Swaps 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

UK Authorities Publish Fair and Effective Markets Review Final Report

In June 2014, the Bank of England, H.M. Treasury and Financial Conduct Authority (UK Authorities) launched their Fair and Effective Markets Review process with the goal of identifying measures to restore confidence in the...more

6/19/2015 - Bank of England Fair and Effective Markets Review (FEMR) FICC FICC Market Standards Board (FMSB) UK

UK PRA Consults on Application of Resolution Stays to Third-Country Agreements

On May 26, the UK Prudential Regulation Authority (PRA) published a consultation paper to require PRA-supervised firms covered by the EU Bank Resolution and Recovery Directive (BRRD) to include in their contractual agreements...more

6/3/2015 - BRRD Counterparties Creditors Prudential Regulation Authority UK

Corporate & Financial Weekly Digest - Volume X, Issue 21

In This Issue: - Form BE-10 Filing Deadline Extended - Delaware Supreme Court Holds That Plaintiffs Must Specifically Plead Non-Exculpated Claims Against Disinterested Directors in Transaction Under Entire...more

6/1/2015 - BHP Billiton Bribery BRRD DE Supreme Court EMIR FCPA Form BE-10 Olympics Prudential Regulation Authority Securities Securities Fraud Settlement UCITS UK Wiretapping

European Commission Launches Review of EMIR

On May 21, the European Commission (EC) issued a consultation paper (CP) as part of its review of the European Market Infrastructure Regulation (EMIR). Article 85(1) of EMIR requires the EC to prepare a report by August 17 on...more

5/29/2015 - CCPs Derivatives EMIR EU European Commission Financial Institutions Liquidity OTC

Corporate & Financial Weekly Digest - Volume X, Issue 20

In this issue: - Section 16(b) Decision Provides Important Guidance - FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public - Form BE-10 Filing Deadline...more

5/26/2015 - 16(b) Attorney's Fees Banking Sector CFTC FINRA Insider Trading OCC

Further Delays in Transatlantic Clearing Accord

Commodity Futures Trading Commission Chairman Timothy Massad, and Jonathan Hill, European Commissioner for Financial Stability, Financial Services and Capital Markets Union, released a joint statement on May 7 relating to the...more

5/15/2015 - CFTC Counterparties Derivatives Clearing Organizations EMIR EU European Commission

Corporate & Financial Weekly Digest - Volume X, Issue 18

In this issue: - SEC Proposes Rules for Security-based Swap Activity of Non-US Persons in the United States - FINRA Proposes Exemption From the TAF for Proprietary Trading Firms - SEC Approves Pilot to...more

5/11/2015 - Broker-Dealer Captive Insurance Company CFTC Class Action Commodities ESMA FINRA MiFID Proprietary Trading SEC Security-Based Swaps Small Offering Exemptions SPVs Urban Outfitters

ESMA Consults on Knowledge and Competence Requirements

Under the original EU Markets in Financial Instruments Directive (MiFID) framework, investment firms must ensure that their personnel have the “skills, knowledge and experience” necessary for their particular functions....more

4/30/2015 - Consultation ESMA EU Investment Adviser Investment Management MiFID MiFID II

Corporate & Financial Weekly Digest - Volume X, Issue 16

In this issue: - SEC Committee to Focus on the Order Protection Rule at Upcoming Meeting - CFTC Issues No-Action Relief to SEFs and DCMs in Connection with Swaps with Operational or Clerical Errors - CFTC...more

4/27/2015 - CFTC DCMs ESMA Financial Markets High Frequency Trading SEC Securities SEFs Virtual Currency Whistleblower Awards

European Court Sides with the United Kingdom on Euro Clearing

On March 4, Europe’s second-highest court ruled in favor of the United Kingdom in a long-running dispute with the European Central Bank (ECB) regarding the latter’s right to mandate that central counterparties (CCPs) clearing...more

3/12/2015 - CCPs Clearing Agencies Counterparties EU European Central Bank Eurozone UK

Corporate and Financial Weekly Digest - Volume X, Issue 9

In this issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - Financial Action Task Force Publishes Updated List of Deficient Jurisdictions - CFTC to Host Roundtable on...more

3/9/2015 - CFTC Cybersecurity Destruction of Evidence EU FATF Foreign Banks Jurisdiction Risk Alert Sarbanes-Oxley SCOTUS SEC Small Business Volcker Rule

ESMA Publishes Additional Consultation Paper on MiFID II/MiFIR Implementation

On February 18, the European Securities and Markets Authority (ESMA) published a new consultation paper (CP) on the implementation of the transparency provisions of the revised EU Market in Financial Instruments Directive...more

2/26/2015 - Derivatives ESMA EU European Securities and Markets Authority Foreign Exchanges MiFID II MiFIR Transparency

Corporate and Financial Weekly Digest - Volume X, Issue 7

In this issue: - CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting - CFTC Announces Members of Market Risk Advisory Committee - NFA Notifies SDs and MSPs of Annual Questionnaire...more

2/23/2015 - CFOs CFTC Derivatives Dodd-Frank ESMA EU Financial Conduct Authority (FCA) Financial Statements Foreign Exchanges MiFID II Sarbanes-Oxley SEC Stock Sale Agreements UK Whistleblowers

Additional Two-Year Clearing Reprieve for European Pension Schemes

The European Commission (EC) has proposed a further two-year extension beyond the three-year exemption from mandatory clearing of over-the-counter derivatives granted to qualifying pension scheme arrangements (PSAs) under...more

2/13/2015 - Derivatives EMIR EU European Securities and Markets Authority Over-the-Counter Sales Pensions

Corporate and Financial Weekly Digest - Volume X, Issue 5

In this issue: - SEC Advisory Committee on Small and Emerging Companies to Discuss “Accredited Investor” Definition - Glass Lewis Enhances its Pay-for-Performance and Equity Plan Models - SEC Issues New...more

2/9/2015 - Accredited Investors CBOE Cybersecurity Emerging Growth Companies Enforcement Actions Equity Plans ESMA Exchange Offer Federal Reserve FINRA Glass Lewis Pay-for-Performance Ponzi Scheme Private Student Loans Proposed Amendments SEC Small Business Tender Offers

ESMA Announces Open Hearing on MiFID II and MiFIR

The European Securities and Markets Authority (ESMA) announced on January 12 that it will hold an open hearing on the issues identified in its December 2014 consultation paper and proposed regulatory technical standards...more

1/22/2015 - ESMA EU MiFID

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