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

Basel Publishes Assessment Reports for the European Union and United States

On December 5, the Basel Committee on Banking Supervision (Committee) published separate reports assessing the implementation of the Basel III capital framework in the United States and the European Union. The Committee conducts…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade

FCA Announces Major Restructuring

On December 8, the UK Financial Conduct Authority (FCA) announced a new strategic approach that is intended to provide a “sharper focus” for the agency as it grapples with its new responsibilities and the implementation of new…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

ESMA Reviews Supervisory Practices on MiFID Investor Information

On December 11, the European Securities and Markets Authority (ESMA) published a press release stating that it had conducted a review of how EU national regulators supervise conduct of business rules under the Markets in…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

NYS Department of Taxation and Finance Issues Tax Guidance on Virtual Currency Transactions

On December 5, the New York State Department of Taxation and Finance (DTF) issued the memorandum “Tax Department Policy on Transactions Using Convertible Virtual Currency.” The memorandum clarified that under New York law,…more
| Finance & Banking, Science, Computers, & Technology, Taxation

Deputy Treasury Secretary Discusses Cybersecurity Checklist for Banks

Deputy Treasury Secretary Sarah Raskin, who recently spoke at the Texas Bankers’ Association Executive Leadership Cybersecurity Conference, provided bank executives and boards some guidance on preventing, preparing for and…more
| Commercial Law & Contracts, Finance & Banking, Privacy, Consumer Protection, Science, Computers, & Technology

Second Circuit Clarifies a Heightened Standard for Insider Trading Convictions

The US Court of Appeals for the Second Circuit recently held that, in order to convict a tippee for insider trading under Section 10(b) of the Securities Act of 1934 and Rule 10b-5, the government must prove beyond a reasonable…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, Business Torts, Securities Law

Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements

A recent court decision and no-action letter have brought to light new issues surrounding issuer requests for Securities and Exchange Commission no-action relief with respect to the ability to exclude shareholder proposals from…more
| Civil Procedure, Commercial Law & Contracts, Securities Law

SEC Approves MSRB Best Execution Rule

On December 5, the Securities and Exchange Commission approved Municipal Securities Rulemaking Board (MSRB) Rule G-18 (Best Execution Rule) that will require municipal securities dealers to seek the most favorable terms…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Sanctions Operator of Unregistered Virtual Currency Exchanges

On December 8, the Securities and Exchange Commission sanctioned a computer programmer for operating two online exchanges that traded securities using virtual currencies without registering them as broker-dealers or stock…more
| Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

Bridging the Week - December 2014 #3

US Judge Says Sentinel 2007 Transfers to BNY Mellon Cannot Be Reversed as Made in Good Faith - The Bank of New York Mellon Corporation (formerly Bank of New York) was absolved of having engaged in “egregious misconduct”…more
| Civil Procedure, Commercial Law & Contracts, Criminal Law, Finance & Banking, Securities Law

Patent Trial and Appeal Board Issues First IPR Decisions on Orange Book-Listed Patents

On December 9, 2014, the Patent Trial and Appeal Board (PTAB) issued final decisions in three inter partes review (IPR) proceedings filed by Amneal Pharmaceuticals challenging three patents listed in the Orange Book for Oracea®…more
| Civil Procedure, Intellectual Property, Science, Computers, & Technology

Corporate and Financial Weekly Digest - Volume IX, Issue 48

In this issue: - Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements - SEC Approves MSRB Best Execution Rule - SEC Sanctions Operator of Unregistered Virtual…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, International Law & Trade, Securities Law

ICANN Gears Up for Second Round of gTLD Applications Even as First Round Still Underway

The most significant development in the Internet space in recent years is the ongoing generic top-level domain (gTLD) expansion. (As a reminder, a TLD is what appears to the right of the "dot" in a domain name (i.e., .COM, .ORG,…more
| Commercial Law & Contracts, Communications & Media Law, Intellectual Property

AIFM Directive – Latvia, Poland and Spain Warned by European Commission for Failing to Fully Implement New Investment Fund Rules

On November 26, the European Commission (Commission) issued a press release stating that it has sent formal requests to Latvia, Poland and Spain to provide it with notification of the measures each country has taken to fully…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

FFIEC Releases Revised BSA/AML Examination Manual

On November 26, the Federal Financial Institutions Examination Council (FFIEC) released the revised Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Examination Manual…more
| Finance & Banking
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