Katten Muchin Rosenman LLP

525 West Monroe Street
Chicago, Illinois 60661-3693, United States

Contact: Vincent A. F. Sergi, National Managing Partner

  • 312.902.5200
  • 312.902.1061

Financial Conduct Authority Clarifies Its Use of Attestations for UK Authorized Firms

Further to the Corporate and Financial Weekly Digest article published on August 29, 2014, in which we described a letter (Letter) that the UK Financial Conduct Authority (FCA) had sent to the FCA Practitioner Panel the week…more
| Finance & Banking, International Law & Trade, Securities Law

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 (MiFID…more
| Finance & Banking, International Law & Trade, Securities Law

NFA Notifies SDs and MSPs of Annual Questionnaire Requirements

Beginning April 1, National Futures Association (NFA) will require its member swap dealers (SDs) and major swap participants (MSPs) to complete the SD-MSP Annual Questionnaire as part of its annual membership renewal process…more
| Administrative Law, Securities Law

CFOs Ordered to Return Bonus and Profits Due to False Financial Statements

The Securities and Exchange Commission recently ordered two former CFOs of Saba Software, Inc. to reimburse the company for stock-sale profits and bonuses accrued during the 12-month periods following its materially false and…more
| Administrative Law, Business Organizations, Civil Remedies, Securities Law

SEC Argues in Second Circuit Amicus Brief That Dodd-Frank Protects Inside Whistleblowers

On February 6, the Securities Exchange Commission filed an amicus brief advising the United States Court of Appeals for the Second Circuit that the whistleblower protections of the Dodd-Frank Wall Street Reform and Consumer…more
| Finance & Banking, Labor & Employment Law, Securities Law

CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting

The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee will hold a meeting on February 26. The meeting, which will focus on the expected impact of the CFTC’s proposed position limit rules…more
| Energy & Utilities, Securities Law

Five Key Takeaways From ICANN 52 in Singapore

The Internet Corporation for Assigned Names and Numbers (ICANN) recently concluded its first public meeting of 2015, held February 8–12 in Singapore. Now that the meeting has concluded, Katten's Internet practice has prepared a…more
| Communications & Media Law, Intellectual Property, Science, Computers, & Technology

Bridging the Week - February 2015 #4

CME Group Reminds Members of Regulatory Requirements for EFRPs and Block Trades Through Disciplinary Actions: The CME Group brought and resolved multiple disciplinary actions against various members and non-members related to…more
| Administrative Law, Finance & Banking, International Law & Trade, Securities Law

CFTC Announces Members of Market Risk Advisory Committee

The Commodity Futures Trading Commission has announced the members of its Market Risk Advisory Committee (MRAC). The MRAC’s membership list is available..…more
| Administrative Law, Finance & Banking, Securities Law

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
| Finance & Banking, International Law & Trade, Securities Law

FCA Releases Updated Transaction Reporting User Pack

On February 6, the Financial Conduct Authority (FCA) published an updated version of its transaction reporting user pack (TRUP). The TRUP provides market participants (including FCA authorized firms, firms from non-EU…more
| Finance & Banking

FCA Reviews Regulatory Regime for Crowdfunding and Promotion of Non-Readily Realizable Securities by Other Media

On February 3, the Financial Conduct Authority (FCA) published a report in light of its review of the regulatory regime for crowdfunding and the promotion of non-readily realizable securities by other media…more
| Business Organizations, Finance & Banking, Securities Law

ESMA Publishes Technical Advice on New EU Market Abuse Regime

On February 3, the European Securities and Markets Authority (ESMA) published its final report to the European Commission (EC) with technical advice on possible new secondary legislation under the European Union’s Market Abuse…more
| Antitrust & Trade Regulation, International Law & Trade, Mergers & Acquisitions, Securities Law

FDIC Issues Private Letter to Elaborate on Brokered Deposit FAQ

On February 4, representatives of the Federal Deposit Insurance Corporation (FDIC) sent a letter to David Hanrahan, the president and CEO of Capital Bank of New Jersey, in which they elaborated on a particular question and…more
| Finance & Banking

OCC Releases Bulletin Summarizing Interim Final Rule on Subordinated Debt Issued by National Banks

On February 6, the Office of the Comptroller of the Currency (OCC) issued OCC Bulletin 2015-11, which describes further clarifications to an interim final rule on subordinated debt that was issued on February 28, 2014. The…more
| Finance & Banking
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Areas of Practice
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400+ Attorneys

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