Corporate and Financial Weekly Digest - September 21, 2012


In this issue:

- NFA Notifies Members of Chief Compliance Officer Requirements for Certain FCMs

- NFA to Publicly Display FCM Financial Data Online

- CME Issues Guidance on Manual/Automated Trading Indicator

- District Court Considers Whether Officer May Be Individually Liable for Company’s Debt

- District Court Dismisses Shareholder Class Action Suit for Securities Fraud

- OCC Issues Rule on Investments in Corporate Debt Securities, Applicable to Federal Savings Associations

- HM Treasury Consults on FPC’s Macro-Prudential Tools

- ESMA Consults on Guidelines on Remuneration Policies and Practices

- ESMA Consults on Guidance on Short Selling Regulation Exemptions

An excerpt from "HM Treasury Consults on FPC’s Macro-Prudential Tools"

On September 18, HM Treasury published a consultation paper on the powers to be made available to the Financial Policy Committee (FPC) to perform its macro-prudential regulatory role within the Bank of England under the regulatory regime being introduced under the Financial Services Bill currently before Parliament. The FPC will monitor the financial system and identify and address systemic risks. The FPC will have macro-prudential powers designed to allow the FPC to mitigate risks to financial stability. It will have powers of recommendation and powers of direction to help achieve its objectives.

Please see full newsletter below for more information.

LOADING PDF: If there are any problems, click here to download the file.

Written by:

Published In:

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Katten Muchin Rosenman LLP | Attorney Advertising

Don't miss a thing! Build a custom news brief:

Read fresh new writing on compliance, cybersecurity, Dodd-Frank, whistleblowers, social media, hiring & firing, patent reform, the NLRB, Obamacare, the SEC…

…or whatever matters the most to you. Follow authors, firms, and topics on JD Supra.

Create your news brief now - it's free and easy »


Katten is a firm of first choice for clients seeking sophisticated, high-value legal services in the... View Profile »

Follow Katten Muchin Rosenman LLP:

Reporters on Deadline

All the intelligence you need, in one easy email:

Great! Your first step to building an email digest of JD Supra authors and topics. Log in with LinkedIn so we can start sending your digest...

Sign up for your custom alerts now, using LinkedIn ›

* With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name.