Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
12/17/2024
/ Broker-Dealer ,
CFTC ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
Trump Administration ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
On October 21, the Securities and Exchange Commission's (SEC) Division of Examinations (Division) published its examination priorities for its fiscal year 2025 (Oct. 1, 2024–Sept. 30, 2025). First published in 2013, the SEC's...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
9/12/2024
/ CFTC ,
Cryptoassets ,
Digital Assets ,
EU ,
Final Rules ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Investment Adviser ,
Securities and Exchange Commission (SEC) ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Editorial Note: In a follow-up to our summary of the SEC’s new private fund adviser rule, Katten attorneys share their views on implementation questions related to a variety of new requirements applicable to advisers to...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
5/16/2024
/ Artificial Intelligence ,
CFTC ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
EU ,
European Parliament ,
Fair Labor Standards Act (FLSA) ,
Financial Conduct Authority (FCA) ,
Hedge Funds ,
Sustainability ,
UK ,
Whistleblowers
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
3/14/2024
/ Broker-Dealer ,
CFTC ,
Digital Assets ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
Investment Adviser ,
Securities ,
Securities and Exchange Commission (SEC) ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
2/15/2024
/ Banking Sector ,
CFTC ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Financial Services Industry ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
12/14/2023
/ Artificial Intelligence ,
CFTC ,
Cryptoassets ,
Cryptocurrency ,
EU ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Machine Learning ,
Non-Fungible Tokens (NFTs) ,
Stablecoins ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
10/24/2023
/ CFTC ,
Corporate Transparency Act ,
Cryptoassets ,
Cryptocurrency ,
Digital Assets ,
Diversity and Inclusion Standards (D&I) ,
Enforcement Actions ,
Financial Conduct Authority (FCA) ,
Financial Services Industry ,
FinCEN ,
Securities and Exchange Commission (SEC) ,
UK
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
9/18/2023
/ Biden Administration ,
Bitcoin ,
Blockchain ,
China ,
Cryptoassets ,
Environmental Social & Governance (ESG) ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Fund Managers ,
Loans ,
Non-Fungible Tokens (NFTs) ,
Securities ,
Securities and Exchange Commission (SEC) ,
UK ,
UK Brexit
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Daniel Davis Shares Views on Digital Asset Regulation During House Subcommittee Hearing -
In testimony before the US House of Representatives Subcommittee on Commodity Markets, Digital Assets, and Rural Development, Daniel...more
5/31/2023
/ Biden Administration ,
Bitcoin ,
Cryptoassets ,
Cryptocurrency ,
Environmental Social & Governance (ESG) ,
European Parliament ,
Financial Conduct Authority (FCA) ,
HM Treasury ,
New York ,
Non-Fungible Tokens (NFTs) ,
Privacy Laws ,
Securities and Exchange Commission (SEC) ,
State Privacy Laws ,
UK
NFTs and the Enduring Allure of Digital Collectibles -
This is the first article of a series by Katten attorneys examining non-fungible tokens (NFTs) and various novel legal issues raised by NFTs, including in copyright...more
SEC Announces Inspection Priorities for 2023 -
On February 7, the Securities and Exchange Commission (SEC) announced its inspection priorities for the current year. The announcement began by noting that the SEC examined 15...more
2/22/2023
/ Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Fund Managers ,
Investment Adviser ,
Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Whistleblowers