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
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 21, 2025. All prior versions are superseded and should be discarded. Please note the following...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
1/16/2025
/ Artificial Intelligence ,
CFTC ,
Digital Assets ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
EU ,
European Data Protection Board (EDPB) ,
Federal Trade Commission (FTC) ,
Financial Conduct Authority (FCA) ,
IRS ,
Securities and Exchange Commission (SEC) ,
UK
In 2014, the Joint Audit Committee issued a Regulatory Alert insisting that futures commission merchant (FCM) clearing members treat separate accounts of the same beneficial owner as a single account for purposes of US...more
At the heart of the statutory and regulatory framework governing transactions in derivatives in the United States is a customer asset protection regime that requires futures commission merchants (FCM) and derivatives clearing...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
The 2024 US elections may signal a shift in the policy orientation of other federal financial regulators, but at the Commodity Futures Trading Commission (CFTC or Commission), at least in the short-term, the most significant...more
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 8, 2024. All prior versions are superseded and should be discarded. Please note the following...more
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 8, 2024. All prior versions are superseded and should be discarded. Please note the following...more
FRS's Annual Examination of CME Clearing Members and CME Rule 930.K -
The back-office operations, finance and compliance teams of the futures commission merchant (FCM) clearing members of the CME Clearing House mark their...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
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
The CME has issued a revised Market Regulation Advisory Notice on Supervisory Responsibilities for Employees and Agents that includes a new “FAQ Related to Supervisory Responsibilities” (the “MRAN”). CME market participants –...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 Privacy, Data and Cybersecurity Quick Clicks is a monthly newsletter highlighting the latest news and legal developments involving privacy, data and cybersecurity issues across the globe....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
Part 17 of the CFTC’s regulations require futures commission merchants, clearing members of registered derivatives clearing organizations, and foreign brokers holding omnibus accounts with such FCM clearing members to submit...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
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
Just under 10 years ago the Joint Audit Committee launched a shot across the bow of the futures industry, with this, seemingly innocuous, observation in a Regulatory Alert...more