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

ESMA Publishes Updated List of Non-EEA Central Counterparties Applying for Recognition Under EMIR

On August 11, the European Securities and Markets Authority (ESMA) published an updated list of central counterparties (CCPs) outside the European Economic Area (EEA) that have applied for recognition under Article 25 of the…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

OCC Issues Merchant Processing Booklet

On August 20, the Office of the Comptroller of the Currency (OCC) issued the “Merchant Processing” booklet of the Comptroller’s Handbook. This booklet, which replaces the booklet of the same name issued in December 2001, has…more
| Commercial Law & Contracts, Finance & Banking

FCA Publishes Supervisory Approach to Financial Promotions in Social Media

On August 6, the UK Financial Conduct Authority (FCA) published its guidance consultation on social media and customer communications (Guidance). The Guidance is intended to clarify and confirm the FCA’s approach to the…more
| Communications & Media Law, Finance & Banking, Consumer Protection

Parkcentral v. Porsche: Second Circuit Opens the Doors of Morrison, and Declines to Apply Section 10(b) to Domestic Securities-Based Swap Transactions

In Parkcentral Global Hub Ltd,. et al. v. Porsche Automobile Holdings SE, et al., Dkt. No. 11-397-cv (2d Cir. Aug. 15, 2014), the US Court of Appeals for the Second Circuit affirmed the lower court’s dismissal of plaintiffs’…more
| Civil Procedure, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Texas Court of Appeals Decertifies Class of Brigham Shareholders

On August 15, the Texas Court of Appeals decertified a class of Brigham Exploration Co. shareholders, holding that the trial court failed to comply with a state rule requiring rigorous analysis of certification requirements…more
| Civil Procedure, Commercial Law & Contracts, Securities Law

SEC Charges Colorado Woman and Her Two Companies with Offering Fraud

On August 15, the Securities and Exchange Commission filed a complaint against Heidi Ann Gamer and two companies under her control, Gamer Economic Systems, LLC and Gamer Media Partners Corp. The SEC alleged that between August…more
| Civil Remedies, Commercial Law & Contracts, Finance & Banking, Business Torts, Securities Law

CFTC Provides Limited Relief to SEFs from Certain Confirmation and Recordkeeping Requirements

On August 18, the Commodity Futures Trading Commission’s Division of Market Oversight issued No-Action Letter No. 14-108, which provides time-limited conditional relief to swap execution facilities (SEFs) from certain…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

ISS Launches New Equity Plan Data Verification Portal

On August 14, Institutional Shareholders Services Inc. (ISS), a leading proxy advisory firm, announced the launch of a new equity plan data verification portal for all US companies receiving proxy recommendations…more
| Commercial Law & Contracts, Securities Law

ISDA Publishes Protocol for 2014 Credit Derivatives Definitions

With exactly one month left until the September 22 effective date of the International Swaps and Derivatives Association’s (ISDA) new 2014 Credit Derivatives Definitions, ISDA has published a protocol to assist in applying the…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Judge Rakoff Rules that Bitcoin Is Money in New York Federal Court

On August 19, Judge Jed S. Rakoff of the US District Court for the Southern District of New York issued a ruling in the case of Robert Faiella, holding that bitcoins are “money,” citing the plain meaning of the term in The…more
| Civil Procedure, Criminal Law, Finance & Banking, Science, Computers, & Technology

FinCEN Issues Advisories for US Financial Institutions

The Financial Crimes Enforcement Network (FinCEN) has issued separate advisories relating to (1) anti-money laundering (AML) and counter-terrorist financing (CTF) deficiencies and (2) promoting a culture of compliance with Bank…more
| Finance & Banking

Corporate and Financial Weekly Digest - Volume IX, Issue 33

In this issue: - ISS Launches New Equity Plan Data Verification Portal - ISDA Publishes Protocol for 2014 Credit Derivatives Definitions - FinCEN Issues Advisories for US Financial Institutions - CFTC…more
| Civil Procedure, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

ESMA Publishes Guidelines on Reporting Obligations Under the AIFMD

On August 8, the European Securities and Markets Authority (ESMA) published official translations of its Guidelines on Reporting Obligations under Articles 3(3)(d) and 24(1), (2) and (4) of the Alternative Investment Fund…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

IRS Ruling Creates Opportunities for Tax Savings by Companies With Substantial Real Estate Assets

On July 29, Windstream announced that it plans to spin off certain telecommunications network assets into an independent, publicly traded real estate investment trust (REIT). Windstream made the announcement after it obtained a…more
| Communications & Media Law, Finance & Banking, Taxation, Real Estate - Commercial

OCC Issues Lease Financing Booklet of the Comptroller’s Handbook and Rescinds Earlier Publication

On August 12, the Office of the Comptroller of the Currency (OCC) issued the “Lease Financing” booklet of the Comptroller’s Handbook. This updated booklet replaces a similarly titled booklet issued in January 1998. The booklet…more
| Commercial Law & Contracts, Finance & Banking
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