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Issues for Compensation Committees to Consider When Grappling With Changes to 162(m) and the Death of the Performance-Based Compensation Exemption
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2018

As much has been written regarding the repeal of the performance-based exception to the $1 million dollar deduction limitation under Code Section


Bridging the Week by Gary DeWaal: January 8 to 12, and 16, 2018 (FINRA Examination Priorities Crypto-Exchange Suit Treasury Secretary Speaks Bitcoin)
  • Katten Muchin Rosenman LLP
  • USA
  • January 15 2018

Last week, the Financial Industry Regulatory Authority disclosed its examination priorities for this year. FINRA’s focus will include, among a wide


FINRA Releases 2018 Regulatory and Examination Priority Letter
  • Katten Muchin Rosenman LLP
  • USA
  • January 12 2018

On January 8, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priority Letter detailing various


NFA Issues Notice of the Effective Date of Amendments to NFA Compliance Rule 2-36: Requirements for Forex Transactions and NFA Compliance Rule 2-43: Forex Orders
  • Katten Muchin Rosenman LLP
  • USA
  • January 12 2018

On January 11, the National Futures Association (NFA) issued a Notice that the amendments to NFA Compliance Rules 2-36 and 2-43 submitted to the


FCA “Dear CEO” Letter to CFD Providers and Distributors Highlights Concerns Following Review of CFD Market
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • January 12 2018

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


CFTC Staff Issues No-Action Relief to Futures Commission Merchants and Introducing Brokers Regarding Capital Treatment of Deferred Tax Liabilities From Changes in Accounting Principles
  • Katten Muchin Rosenman LLP
  • USA
  • January 12 2018

On January 5, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight issued a no-action letter authorizing


Chief Brexit Negotiators Discuss Post-Brexit Treatment of UK Financial Regulations
  • Katten Muchin Rosenman LLP
  • United Kingdom, European Union
  • January 12 2018

On January 9, Michel Barnier, the European Union’s (EU’s) chief Brexit negotiator, delivered a speech at the “Trends Manager of the Year 2017” event


ESMA Delays Publication of Data on Double Volume Cap Mechanism Under MiFID II
  • Katten Muchin Rosenman LLP
  • European Union
  • January 12 2018

On January 9, the European Securities and Markets Authority (ESMA) published a press release announcing that it has decided to delay the publication


FCA Publishes Guidance and Updated Forms and Webpages Reflecting MiFID II Implementation
  • Katten Muchin Rosenman LLP
  • USA
  • January 12 2018

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


UK Government Publishes Response to Feedback on Trade White Paper
  • Katten Muchin Rosenman LLP
  • USA, United Kingdom, European Union
  • January 12 2018

On January 5, the UK Department for International Trade (DIT) published the UK government’s response to feedback on the DIT’s Trade White Paper on