EU, Securities and Exchange Commission (SEC), European Securities and Markets Authority (ESMA)

Stumbling Block? What is the Path Ahead for DeFi Through the Eyes of Policymakers?

BCLP on 2/12/2024

DeFi development carried quietly on throughout 2023, but DeFi protocols also faced significant hurdles. In the US, the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) increased their...more

Global Financial Regulators Turn Their Attention to Social Media ‘Finfluencers’

Morgan Lewis - Tech & Sourcing on 8/18/2023

Financial regulators in the United Kingdom, European Union, and United States are proposing new rules to regulate how financial products are promoted on social media platforms. There is a particular focus on financial...more

Overview of crypto asset class regulations in the EU and the US

Dechert LLP on 1/27/2023

This OnPoint summarizes the panel discussion at Dechert’s annual investment funds conference that took place in Luxembourg in the last quarter of 2022. At the conference, we discussed the Regulation on the Markets of Crypto...more

Horizon Scan for Private Investment Funds: Key Recent and Expected Funds, Regulatory and Tax Developments to Look Out For

Goodwin on 1/19/2023

Welcome to our January 2023 Horizon Scan, where we focus on some of the principal recent and expected developments and changes that we expect to be of interest to those in the non-listed funds sector. We have grouped the...more

Upcoming Regulatory Initiatives Impacting Private Fund Managers - September 2022

Dechert LLP on 9/22/2022

This latest edition of the regulatory initiatives paper sets out at a high level the core regulatory issues that are likely to impact private fund managers in the coming months, including an overview of the key actions needed...more

Live from FIA L&C: Redefining the Scope of a “Trading Facility”

Cadwalader, Wickersham & Taft LLP on 5/3/2022

This week, attendees at the FIA L&C conference are gathered in Washington, D.C., for the first time in three years to discuss several issues with significant potential impact on the markets. One such issue is redefining the...more

Corporate & Financial Weekly Digest, Featuring Articles on FINRA's Proposed Supplemental Liquidity Schedule and ESMA's Exploration...

Katten Muchin Rosenman LLP on 5/24/2021

BROKER-DEALER - Notice of Filing of a Proposed Rule Change to Adopt a Supplemental Liquidity Schedule - The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority (FINRA)...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC launches new website page on ESG investing and UK FCA launches new...

Katten Muchin Rosenman LLP on 3/29/2021

BROKER-DEALER - SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act - On March 24, the Securities and Exchange Commission adopted interim final amendments to implement...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Plan to Review Climate-Change Disclosures and Clarity From...

Katten Muchin Rosenman LLP on 3/1/2021

SEC/CORPORATE - Acting SEC Chair Issues Statement on Climate-Change Disclosures - On February 24, acting Chair of the Securities and Exchange Commission Allison Herren Lee issued a statement that she has directed the...more

Corporate & Financial Weekly Digest, Featuring Articles on Audit Regulations Under the HFCAA, Approval of the NFA's Swap Dealer...

Katten Muchin Rosenman LLP on 1/18/2021

SEC/CORPORATE - Holding Foreign Companies Accountable Act Signed Into Law by President Trump - In December 2020, President Donald Trump signed into law the Holding Foreign Companies Accountable Act (the HFCAA). The...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC proposes amendments to Rule 144, Elad Roisman named Acting Chairman...

Katten Muchin Rosenman LLP on 1/15/2021

SEC/CORPORATE - SEC Proposes Rule 144 Tacking Amendments - On December 22, 2020, the Securities and Exchange Commission voted to propose amendments to Rule 144 under the Securities Act of 1933 (the Securities Act)...more

Corporate & Financial Weekly Digest, Featuring Articles on LabCFTC's Digital Assets Primer and the FCA and HM Treasury Make...

Katten Muchin Rosenman LLP on 12/21/2020

BROKER-DEALER - SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation - On December 16, the Securities and Exchange Commission announced that it adopted a rule to limit the...more

Corporate & Financial Weekly Digest, Featuring Articles on NASDAQ Seeks Approval of Board Diversity Rule with SEC, CFTC's Timing...

Katten Muchin Rosenman LLP on 12/7/2020

SEC/CORPORATE - SEC Adopts Amendments to MD&A and Other Financial Disclosures - On November 19, the Securities and Exchange Commission announced that it adopted amendments (the Amendments) to certain financial...more

Corporate Governance and Securities Law Update: Latin America Edition, November 2020

A&O Shearman on 11/19/2020

This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the third quarter of 2020 that may be of interest to Latin American corporations and...more

Corporate & Financial Weekly Digest, Featuring Articles on the SEC's Modernized Auditor Independence Rules, FINRA Guidance on...

Katten Muchin Rosenman LLP on 10/26/2020

SEC/CORPORATE - SEC Adopts Amendments to Modernize Auditor Independence Rules - On October 16, the Securities and Exchange Commission adopted amendments (the Amendments) to its long-standing auditor independence rules....more

Corporate & Financial Weekly Digest, Featuring Articles on the Latest C&DIs From the SEC and FCA Tools for Making the LIBOR...

Katten Muchin Rosenman LLP on 9/28/2020

SEC/CORPORATE - SEC Issues C&DI on Use of Form S-3 by SPACs - On September 21, the Division of Corporation Finance of the Securities and Exchange Commission issued a new Compliance and Disclosure Interpretation (C&DI)...more

Corporate & Financial Weekly Digest, Featuring Articles on Modernized Disclosures by SEC for Banking Registrants, New Guidance by...

Katten Muchin Rosenman LLP on 9/21/2020

BROKER-DEALER - SEC Amends Exchange Act Rule 15c2-11 to Enhance Retail Investor Protections and Modernize Governing Quotations for Over-the-Counter Securities - On September 16, the Securities and Exchange Commission...more

Corporate & Financial Weekly Digest, Featuring Articles on New NYSE Direct Listing Rules from the SEC, a CFTC No-Action Letter...

Katten Muchin Rosenman LLP on 9/8/2020

SEC/CORPORATE - SEC Stays Implementation of New NYSE Direct Listing Rules - As discussed in the August 31, 2020 edition of the Corporate & Financial Weekly Digest, on August 26, the Securities and Exchange Commission...more

Corporate Governance and Securities Law Update: Latin America Edition - July 2020

A&O Shearman on 8/3/2020

This newsletter provides a snapshot of the principal U.S. and selected international governance and securities law developments during the second quarter of 2020 that may be of interest to Latin American corporations and...more

Governance & Securities Law Focus: Europe Edition, July 2020

A&O Shearman on 7/23/2020

In this newsletter, we provide a snapshot of the principal European, U.S., U.K. and selected international governance and securities law developments of interest to European corporates. ...more

Corporate & Financial Weekly Digest, Featuring Articles on New Standardized Approaches to Cybersecurity Preparedness, FINRA's...

Katten Muchin Rosenman LLP on 7/20/2020

SEC/CORPORATE - SEC Approves Extension of Temporary NYSE Waiver of Stockholder Approval Rules - Recently, the Securities and Exchange Commission issued a release (the Release) approving, with immediate effectiveness,...more

Corporate & Financial Weekly Digest, Featuring Articles on Additional LIBOR Replacement Materials from the ARRC, Amendments to...

Katten Muchin Rosenman LLP on 7/13/2020

BROKER-DEALER - FINRA Announces Updates to Interpretations of Margin Rule Regarding Control and Restricted Securities and Consolidation of Accounts - On July 2, the Financial Industry Regulatory Authority (FINRA) issued...more

European Union › Securities and Exchange Commission (SEC) › European Securities and Markets Authority (ESMA)