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Article

Katten Muchin Rosenman LLP | United Kingdom | 14 Dec 2018

FCA Publishes Consultation Paper on Restricting CFD Products Sold to Retail Clients

On December 7, the UK Financial Conduct Authority (FCA) published a consultation paper on restricting contract for difference (CFD) and other

Article

Katten Muchin Rosenman LLP | USA | 1 Jun 2018

MiFID IIMiFIR Q&A Updates Concerning Best Execution and Client Categorization

On May 25, the European Securities and Markets Authority (ESMA) updated its questions and answers on the revised Markets in Financial Instruments

Article

Katten Muchin Rosenman LLP | United Kingdom | 12 Jan 2018

FCA “Dear CEO” Letter to CFD Providers and Distributors Highlights Concerns Following Review of CFD Market

On January 10, the UK Financial Conduct Authority (FCA) published a “Dear CEO” letter that it has sent to providers and distributors of contract for

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

Article

Katten Muchin Rosenman LLP | United Kingdom | 5 Feb 2016

FCA Publishes “Dear CEO” Letter in Relation to Client Take-On Procedures for CFD Products

On February 2, the Financial Conduct Authority (FCA) published a “Dear CEO” letter (Letter) setting out the FCA’s findings from a review of client

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