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FINRA Fines Broker-Dealer US $850,000 for Ignoring Red Flags of Office Manager’s Theft of Client Funds
  • Katten Muchin Rosenman LLP
  • USA
  • September 18 2016

Ameriprise Financial Services, Inc., a broker-dealer, agreed to pay a fine of US $850,000 for its alleged failure to detect the conversion of US $370


2016 Amendments to Delaware General Corporation Law Highlight Two-Step Mergers and Appraisal Rights
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2016

On August 1, a number of amendments to the Delaware General Corporation Law (DGCL) went into effect. Notably, several of the amendments modified


FINRA Requests Comments on Proposed Gift, Gratuities and Non-Cash Compensation Rule Amendments
  • Katten Muchin Rosenman LLP
  • USA
  • August 12 2016

On August 8, the Financial Industry Regulatory Authority issued Regulatory Notice 16-29, which solicits comments to proposed amendments to FINRA's


ESMA Issues Update on Extension of Funds' Marketing Passport to 12 Non-EU Countries
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • July 24 2016

The European and Securities Markets Authority reported that equivalency in oversight of US and European Union investment funds not involving any


OCIE Begins IA Sweep to Detect Possible Conflict of Interest Related to Recommendations of Mutual Fund Shares Classes With High Charges
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2016

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations announced that, in upcoming audits, it would specifically


SEC Division of Corporation Finance Issues New C&DIs on AB Exchanges
  • Katten Muchin Rosenman LLP
  • USA
  • July 15 2016

The staff of the Securities and Exchange Commission, through a series of letters, which began with a 1988 no-action letter to Exxon Capital Holdings


Structuring Equity Interests for Independent Sponsors
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2016

In a traditional private equity fund, the fund managers will raise money from investors to establish a pool of capital the fund can then use to


SEC Enforcement Action Highlights Need for Private Equity Firms to Consider Broker-Dealer Registration
  • Katten Muchin Rosenman LLP
  • USA
  • June 2 2016

A recent SEC enforcement action against a private equity firm highlights issues identified in a recent speech by the Director of the Securities and


Independent Sponsor Transactions Forge AheadKatten’s Take on These PE Deals
  • Katten Muchin Rosenman LLP
  • USA
  • May 4 2016

With an all-time record set last year for the highest value of merger and acquisition transactions in the United States at $1.97 trillion, there were


FSOC Expresses Concerns That Pooled Investment Vehicles’ Liquidity and Redemption Risks May Pose Financial Stability Concerns
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The Financial Stability Oversight Council issued an update on asset management products and activities that, it claimed, might pose threats to