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Results: 1-10 of 143

FSA publishes paper on good and poor practices in Key Features Documents

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • October 5 2007

On September 28, the UK Financial Services Authority (FSA) published a paper on industry good and poor practice in the preparation of Key Features Documents (KFDs

FSA announces changes to approved person registration requirements

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • July 31 2009

On July 27, the UK Financial Services Authority (FSA) confirmed an extension of the approved persons registration regime to include any person performing a "significant influence" function at an FSA authorized firm

Executor has no right to challenge insurable interest of beneficiary under California law

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 21 2009

On July 27, the U.S. District Court for the Southern District of New York granted a motion by defendants, New York investors in life insurance policies, to dismiss a suit by the executor of the insured’s estate and others, holding that under California law, only the life insurer has standing to challenge a policy’s validity on the ground that the purchaser lacked an insurable interest

Industry guidance to play a key role in FSA regulation

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • September 14 2007

On September 4, the UK Financial Services Authority (FSA) issued Policy Statement 0716 FSA Confirmation of Industry Guidance which introduced a new framework for recognizing industry guidance as part of FSA’s continued steps towards more Principles-Based Regulation

Financial services regulatory reform legislation moves forward

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 27 2010

Financial services regulatory reform, in particular, the regulation of the over-the-counter derivatives markets and market participants, took a major step forward late last week when the Senate passed the Restoring American Financial Stability Act of 2010

Filing of FINRA’s new Customer Margin Balance Form required next month

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 12 2010

The Financial Industry Regulatory Authority has issued a Regulatory Notice to remind members that are subject to FINRA Rule 4521(d) to file certain customer margin account information beginning March 1

Veil-piercing allegations insufficient to impose liability on non-party to insurance policy; court vacates attachment of electronic fund transfers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 19 2010

The U.S. District Court for the Southern District of New York denied cross motions for summary judgment, ruling that plaintiff’s veil-piercing allegations were insufficient to establish liability against a non-party for payments due on an insurance agreement, as a matter of law

FMLC publishes comments on HM Treasury proposals for new UK regulatory structure

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • December 2 2011

On November 22, the Financial Markets Law Committee (FMLC) published its final response comments to HM Treasury's June 2011 consultation on the government’s new UK financial services regulatory structure

FSA updates guide to the new PRA and FCA handbooks

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom
  • -
  • February 22 2013

On February 19, the UK Financial Services Authority (FSA) published an updated "one-minute guide" summarizing the changes to the FSA Handbook that

New York Governor Paterson announces plan to regulate CDS market

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 26 2008

On September 22, New York Governor David Paterson announced that beginning in January New York State will begin to regulate part of the credit default swap market

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