Katten Muchin Rosenman LLP | USA | 18 Jan 2019
On January 15, the Securities and Exchange Commission announced charges against nine defendants, alleging their participation in a previously…
Katten Muchin Rosenman LLP | European Union | 16 Nov 2018
On November 13, the European Commission (EC) published a statement by Vice-President Valdis Dombrovskis on the regulation of cryptoassets and initial…
Katten Muchin Rosenman LLP | European Union, United Kingdom | 16 Nov 2018
On November 14, a technical agreement was reached between the negotiators of the UK and the EU in relation to the terms of the withdrawal of the UK…
Katten Muchin Rosenman LLP | USA | 20 Apr 2018
On April 18, the Securities and Exchange Commission proposed a new rule under the Securities Exchange Act of 1934, creating a standard of conduct for…
Katten Muchin Rosenman LLP | USA | 2 Feb 2018
On January 30, the Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission to adopt…
Katten Muchin Rosenman LLP | USA | 11 Aug 2017
On August 9, the US Department of Labor (DOL) announced in a court filing that it has proposed an 18-month extension of the full implementation of…
Katten Muchin Rosenman LLP | United Kingdom, USA | 30 Jun 2017
On June 28, the Financial Conduct Authority (FCA) published its final report after its asset management market study (Study), which began in November…
Katten Muchin Rosenman LLP | USA | 12 Mar 2017
NFA proposed to amend its financial requirements to conform with a recent no-action letter issued by the Commodity Futures Trading Commission's…
Katten Muchin Rosenman LLP | USA | 12 Feb 2017
The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight authored four virtually identical no-action letters…
Katten Muchin Rosenman LLP | USA | 5 Feb 2017
Edward Jones, a broker-dealer registered with the Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority…