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21 results found

Article

Katten Muchin Rosenman LLP | USA, European Union | 1 Mar 2019

European Parliament and Council of the European Union Reach Agreement on Investment Firms Regulation and Directive

On February 26 and 27, the Council of the European Union and the European Parliament issued statements, respectively, announcing that they had

Article

Katten Muchin Rosenman LLP | European Union | 21 Dec 2018

ESMA Provides Update on Assessment of Third-Country Trading Venues Under MiFID II and MiFIR

On December 20, the European Securities and Markets Authority (ESMA) published a press release providing an update on its assessment of third-country

Article

Katten Muchin Rosenman LLP | USA, European Union | 28 Sep 2018

ECON Votes to Adopt Draft Reports on Revised EU Prudential Framework for Investment Firms

On September 24, the European Parliament published a press release announcing that its Committee on Economic and Monetary Affairs (ECON) voted to

Article

Katten Muchin Rosenman LLP | European Union | 27 Jul 2018

ESMA Releases Template to Determine Whether Investment Firms Are Systematic Internalizers

On July 20, the European Securities and Markets Authority (ESMA) released a template (Template) to determine whether investment firms are systematic

Article

Katten Muchin Rosenman LLP | USA | 18 May 2018

Legal Entity Identifier Regulatory Oversight Committee Issues Second Progress Report

On May 2, the Legal Entity Identifier Regulatory Oversight Committee (LEI ROC) published its second progress report, which included an overview of the

Article

Katten Muchin Rosenman LLP | USA | 23 Feb 2018

FCA Publishes “Dear CEO” Letter on Quality of Prudential Regulatory Returns

On February 19, the UK’s Financial Conduct Authority (FCA) published a “Dear CEO” letter that it recently sent to IFPRU investment firms and BIPRU

Article

Katten Muchin Rosenman LLP | USA | 12 Jan 2018

FCA Publishes Guidance and Updated Forms and Webpages Reflecting MiFID II Implementation

On January 3, the UK Financial Conduct Authority (FCA) published a document containing general guidance on the authorization process, forms and

Article

Katten Muchin Rosenman LLP | USA | 15 Dec 2017

FCA Publishes Issue 55 of Market Watch Newsletter

On December 12, the UK Financial Conduct Authority (FCA) published issue 55 of Market Watch, its newsletter on market conduct and transaction

Article

Katten Muchin Rosenman LLP | USA | 8 Dec 2017

Many EU Countries Have Not Yet Adopted MiFID II

On December 5, Valdis Dombrovskis, the vice-president of the European Commission (EC), recognized that most European Union (EU) Member States have

Article

Katten Muchin Rosenman LLP | USA | 1 Dec 2017

The EU PRIIPs Regulation for Fund Managers

With the vast majority of European Union (EU) regulatory focus recently having been on the Markets in Financial Instruments Directive

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