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FIA Publishes Due Diligence Questionnaire for IT Outsourcing
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

FIA's e-Trading Working Group published a due diligence questionnaire intended to help investment firms subject to the Markets in Financial


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


Singapore MAS Proposes Amendments to Security and Futures to Enhance OTC Regulation and Implement Market Misconduct Prohibitions
  • Katten Muchin Rosenman LLP
  • Singapore
  • January 16 2017

A new bill initially proposed by the Monetary Authority of Singapore aimed at enhancing regulatory protections for retail investors and toughening


FINRA Sanctions 12 Member Firms for Failure to Maintain Electronic Records in Required Format
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

The Financial Industry Regulatory Authority assessed a total of US $14.4 million in fines against 12 firms for "significant deficiencies" in their


Two Companies Charged by SEC for Whistleblower Infractions
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Two publicly traded companies agreed to settle Securities and Exchange Commission


CFTC Grants No-Action Relief From Certain Swap Clearing Requirements for Swaps With Eligible Affiliate Counterparties in Australia or Mexico
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2016

On December 15, the Commodity Futures Trading Commission Division of Clearing and Risk granted US swap participants temporary no-action relief from


Political Update: Former CFTC Acting Chair, Sharon Brown Hruska, Named to Landing Team for CFTC and SEC
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Sharon Brown-Hruska, a former commissioner and Acting Chair of the Commodity Futures Trading Commission, was named a member of the landing team for


Political Update: SEC Chair Announces Imminent Resignation; CFTC Chairman Urged to Put Pens Down on Three Controversial New Initiatives
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

As anticipated, Mary Jo White announced she will resign as Chair of the Securities and Exchange Commission prior to January 20, 2017. In addition


ESMA Publishes Final Report on Clearing Obligations for Financial Counterparties With Limited Activity Volumes
  • Katten Muchin Rosenman LLP
  • European Union
  • November 18 2016

On November 14, the European Securities and Markets Authority (ESMA) published a final report (Final Report) under the European Market Infrastructure


Foreign Listed Stock Index Futures and Options Approvals November 2016
  • Katten Muchin Rosenman LLP
  • Global
  • November 14 2016

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 2016. All prior