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European Securities and Markets Authority (ESMA) › No-Action Relief › Derivatives

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Swaps, CFTC Initial Margin Phase 5, Brexit, and EU Obligations of...

Katten Muchin Rosenman LLP on

DERIVATIVES - SEC Issues Statement on Swap Business Conduct Rules - On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS) by...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest, Featuring Topics on Broker/Dealer, Derivatives, CFTC and UK/EU Developments

Katten Muchin Rosenman LLP on

BROKER-DEALER - FINRA Releases New Targeted Exam Letter Regarding Order Routing Conflicts - On November 10, the Financial Industry Regulatory Authority released the contents of a new Order Routing Conflicts targeted...more

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