Katten's Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....more
4/18/2024
/ Artificial Intelligence ,
China ,
Cross-Border Transactions ,
Cybersecurity ,
Data Privacy ,
Data Protection ,
Data Security ,
Department of Health and Human Services (HHS) ,
Financial Conduct Authority (FCA) ,
NYDFS ,
Privacy Laws
BROKER-DEALER -
FINRA Expands Transparency Initiative Related to OTC Equity Trading Volume -
The Financial Industry Regulatory Authority (FINRA) previously announced an expansion to its ongoing transparency initiative...more
12/9/2019
/ Banking Sector ,
Broker-Dealer ,
CFTC ,
Cross-Border Transactions ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
MiFID II ,
NFA ,
Securities and Exchange Commission (SEC)
BROKER-DEALER -
FINRA Issues Regulatory Notice Reminding Member Firms about CAT Reporting Deadlines -
On May 21, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-19 (Notice), which reminds...more
5/28/2019
/ Broker-Dealer ,
CFTC ,
Cross-Border Transactions ,
Derivatives ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Management ,
IOSCO ,
NFA ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
UK
SEC/CORPORATE -
California Adopts Law Regarding Female Representation on Boards of Directors of Publicly Held Companies -
On September 30, California Governor Jerry Brown signed into law California Senate Bill 826 (SB...more
10/8/2018
/ Australia ,
Bank Secrecy Act ,
Benchmarks ,
Board of Directors ,
CFTC ,
Commodity Trading Advisors (CTAs) ,
Corporate Governance ,
CPOs ,
Cross-Border Transactions ,
Diversity ,
EU Market Abuse Regulation (EU MAR) ,
FinTech ,
Gender Equity ,
Libor ,
MiFID II ,
MiFIR ,
Swaps ,
UK Brexit ,
Woman Board Members
SEC/CORPORATE -
SEC-Proposed Amendments to Modernize, Simplify and Increase the Accessibility of Required Disclosure -
As previously reported in the October 13, 2017 edition of Corporate & Financial Weekly Digest, on...more
BROKER-DEALER –
“Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility –
On October 7, the Financial Industry Regulatory Authority issued a Trade Reporting Notice regarding...more
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
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 ,
Securities and Exchange Commission (SEC) ,
UK
On June 29, the European Securities and Markets Authority (ESMA) published its final report (Report) on draft rules (both draft implementing technical standards (ITS) and draft regulatory technical standards (RTS)) relating...more
7/17/2015
/ Cross-Border Transactions ,
EMIR ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Markets ,
Investment Firms ,
MiFID ,
MiFID II ,
MiFIR ,
Regulation Technical Standards (RTS) ,
Supervision ,
Technical Standards
In This Issue:
- NYSE Amends "Late Filer Rule"
- CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules
- Delaware Chancery Court Addresses Proper Purpose for Inspection...more
3/16/2015
/ CFTC ,
Cross-Border Transactions ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Inspection Rights ,
Late Filer Rule ,
MiFID II ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Whistleblowers