Search
Refine your search
2,316 results found
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
