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
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
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
Regulatory Alert! A Joint Audit Committee Reminder to FCM Legal and Compliance Personnel -
The Joint Audit Committee (JAC) is a club of futures exchanges, in their capacities as selfregulatory organizations (SROs). Under a...more
Welcome to the inaugural issue of Katten’s Financial Markets and Funds Quick Take. Each month, Quick Take will highlight key noteworthy developments potentially affecting financial markets and funds.
...more
Recent initiatives by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) evidence the agencies' increasing intent to play significant roles in the ESG space....more
Key Points -
- The CFTC is proposing to eliminate large sections of current Form CPO-PQR.
- Revised Form CPO-PQR would have a quarterly filing requirement for all CPOs (regardless of size) and would ask them to provide...more
On November 25, 2015, the Commodity Futures Trading Commission (the "Commission" or the CFTC) proposed a comprehensive set of new rules ("Regulation AT") that, if adopted, potentially would impose many new obligations on most...more
I. Cybersecurity; Its Importance and Relevance – How We Got to Where We Are Today -
In the past few months, the White House, Home Depot, JP Morgan, Hard Rock Hotels, Tesla, the St. Louis Federal Reserve, the Internal...more
6/24/2015
/ Best Practices ,
CFTC ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Department of Justice (DOJ) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
NASD ,
NFA ,
Popular ,
Regulation S-P ,
Regulatory Agencies ,
Regulatory Agenda ,
Risk Assessment ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Strategic Planning
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK