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Article

Katten Muchin Rosenman LLP | USA | 19 May 2020

Business Unusual For Financial Services Firms - Returning to New Variations of "the Workplace"

While employers across various industries and sectors face certain common challenges in resuming business operations during the COVID-19 pandemic…
Article

Katten Muchin Rosenman LLP | USA | 15 May 2020

SEC Enforcement Actions Against Fund Advisers Continues

Recent Securities and Exchange Commission (SEC) enforcement actions against investment advisers and fund managers point to continued pressure points…
Article

Katten Muchin Rosenman LLP | USA | 13 May 2020

A Friendly Reminder: CFTC Staff Encourages Exchanges, Futures Brokers and Clearinghouses to Ensure Their Risk Controls and Disclosures Address COVID-19-Related Market Volatility and Negative Prices

Responding to recent COVID-19-related volatility in futures and options markets and their related agricultural, energy and financial cash markets…
Article

Katten Muchin Rosenman LLP | USA | 8 May 2020

New York Proposes New Rules to Modernize Securities Filings Affecting Private Funds and Significant Exam and Registration Requirements on "Finders"

New York’s Investor Protection Bureau of the Department of Law (the “Department”) proposed changes to notice filing requirements for private funds…
Article

Katten Muchin Rosenman LLP | USA | 3 May 2020

Block Trades Purported Rules Violations Prompt Disciplinary Actions by Exchanges on Both Sides of Atlantic

Purported mishandling of operational issues involving block trades and exchange for related position transactions was a common motif in disciplinary…
Article

Katten Muchin Rosenman LLP | USA | 3 May 2020

CFTC Proposes Major Revamp of Its Bankruptcy Rule; Changes Mostly Codify Status Quo

The Commodity Futures Trading Commission proposed its first comprehensive overhaul of its bankruptcy rules since 1983. The recommended new rules do…
Article

Katten Muchin Rosenman LLP | USA | 3 May 2020

Brian Quintenz to Leave CFTC

Brian Quintenz announced he will step down as a commissioner of the Commodity Futures Trading Commission as of October 31, 2020, and will not seek…
Article

Katten Muchin Rosenman LLP | Global, USA | 3 May 2020

Most Banking Regulators Consider Climate-Related Financial Risks in Scope of Existing Regulatory and Supervisory Frameworks

The Basel Committee on Banking Supervision reported that the majority of its members are currently undertaking multiple regulatory and supervisory…
Article

Katten Muchin Rosenman LLP | USA | 3 May 2020

CPOs Proposed to Have Option of Filing Parallel NFA Form to Satisfy Recommended Revised Quarterly Form CPO-PQR Requirements by CFTC

The Commodity Futures Trading Commission proposed a material refresh to informational reporting requirements it currently imposes on commodity pool…
Article

Katten Muchin Rosenman LLP | Canada | 3 May 2020

Ain’t No Regulator Called the “Canadian Office of Derivative Trading” Warns Canadian Securities Administrators

The Canadian Securities Administrators cautioned that a website of the so-called "Canadian Office of Derivative Trading" was bogus. The website…
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