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Results: 1-10 of 1,273

SEC Chairman Nominee Urges Making US Capital Markets Great Again
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

During testimony before the Senate Committee on Banking, Housing and Urban Affairs last week, Jay Clayton - nominated by President Donald Trump to


FINRA to Industry: Can We Talk More?
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

The Financial Industry Regulatory Authority sought comment on how to enhance its interactions with members and other stakeholders to better


FINRA Seeks Comment on Engagement Programs
  • Katten Muchin Rosenman LLP
  • USA
  • March 24 2017

The Financial Industry Regulatory Authority has issued a notice requesting public comment on how to improve industry and public engagement. The


CTA and Principal Barred From NFA Membership for Failing to Cooperate in Examination
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

For the second week in a row, a panel of the Hearing Committee of the National Futures Association banned a firm and an individual principal and


NYS Requires State-Regulated Financial Services Institutions to Maintain Cybersecurity Program
  • Katten Muchin Rosenman LLP
  • USA
  • February 27 2017

New York State adopted what it claimed was the "first-in-the-nation" regulation that requires commercial banks, insurance companies and other


EU and Prudential Regulators Issue Statements on March 1 Compliance With Swap Margin Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 24 2017

Lacking the ability to issue formal no-action relief from strict compliance with the variation margin rules for uncleared swaps coming into effect on


FCA Publishes Discussion Paper on Illiquid Investments and Open-Ended Funds
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom, USA
  • February 10 2017

On February 8, the UK Financial Conduct Authority (FCA) published a discussion paper (Paper), seeking stakeholder views on open-ended funds investing


International Bank Fined Over US $625 Million for AML Violations by UK FCA and New York State
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • February 5 2017

Deutsche Bank AG agreed to pay sanctions of slightly more than GB £163 million (approximately US $203 million) to the UK Financial Conduct Authority


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


FINRA and ISG Update Electronic Blue Sheet Data Elements
  • Katten Muchin Rosenman LLP
  • USA
  • February 3 2017

The Financial Industry Regulatory Authority (FINRA) and the US members of the Intermarket Surveillance Group (ISG) have updated various data elements