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Katten Muchin Rosenman LLP | USA | 12 Apr 2019

FINRA Proposes Rule to Adopt the Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules

On April 8, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed rule change to adopt the…

Travers Smith LLP | European Union, United Kingdom | 11 Apr 2019

EMIR 2.1 update

In July 2018 we circulated a client briefing note outlining the European Parliament's approval of a revised proposal to amend EMIR (also known as…

Nutter McClennen & Fish LLP | USA | 10 Apr 2019

Fintech in Brief: The Clearing House Announces Adoption of Business Principles for Operation of the RTP® Network

On March 28, 2019, the Supervisory Board of The Clearing House Payments Company L.L.C. (“TCH”) released its “Business Principles for the RTP®…

Katten Muchin Rosenman LLP | European Union, United Kingdom, USA | 29 Mar 2019

ESMA Publishes Statement on Preparations Regarding Clearing and Settlement for a No-Deal Brexit

On March 28, the European Securities and Markets Association (ESMA) published a statement updating market participants on its preparations for the…

Sidley Austin LLP | European Union, United Kingdom, USA | 13 Mar 2019

EMIR REFIT: Impact on Asset Managers

Key changes to the scope of EMIR which asset managers should be aware of as a result of EMIR REFIT are…

Hunton Andrews Kurth LLP | USA | 12 Mar 2019

Seeking Clarity in the Use of Blockchain Technology for Securities Trading

The Council of Institutional Investors (CII) and Templum, Inc. (Templum) each recently submitted comments to the SEC to call for the agency to embrace…

Katten Muchin Rosenman LLP | European Union, United Kingdom | 1 Feb 2019

Bank of England and FCA Provide Updates on Post-Brexit Market Infrastructure Transitional Arrangements and Applications

On January 24, the Bank of England updated its financial market infrastructure supervision websites with interim lists of entities and systems that…

Lenz & Staehelin | Switzerland | 18 May 2018

FinfraG Update VIII - FINMA publishes revised FMIO-FINMA confirming the categories of OTC derivatives subject to the clearing obligation

The purpose of this Newsflash is to inform Swiss market participants that FINMA has introduced a clearing obligation for standardized interest rate…

Katten Muchin Rosenman LLP | USA | 9 Mar 2018

SEC Releases Statement on Platforms Trading Digital Assets

On March 7, the Securities and Exchange Commission released an advisory regarding platforms used to trade digital assets. The SEC expressed concern…

Pestalozzi Attorneys at Law | Switzerland | 16 Feb 2018

Clearing Obligation: Revision of FMIO-FINMA

Standardized OTC interest-rate and credit derivatives will be the first derivative products to be subject to clearing. The definition of the…
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