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SEC Watchdog Finds Cybersecurity Policies Better But Not Always Enforced
  • Katten Muchin Rosenman LLP
  • USA
  • August 13 2017

The Office of Compliance Inspections and Examinations of the Securities and Exchange Commission issued a report saying that firms have "increased


New Delaware Law Authorizes Companies to Manage Corporate Records Using Distributed Ledger Technology
  • Katten Muchin Rosenman LLP
  • USA
  • August 6 2017

The State of Delaware enacted new provisions of law effective August 1 that authorize corporations to maintain certain of their required records


CFTC Creates New FinTech Initiative - A Lab, Not a Sandbox
  • Katten Muchin Rosenman LLP
  • USA
  • May 21 2017

The Commodity Futures Trading created a new initiative to promote FinTech innovation termed LabCFTC. The objective of the initiative, said the CFTC


CFTC Launches LabCFTC as Major FinTech Initiative
  • Katten Muchin Rosenman LLP
  • USA
  • May 19 2017

On May 17, the Commodity Futures Trading Commission announced the creation of LabCFTC, a new initiative aimed at promoting responsible FinTech


Making Regulation Great Again: President Trump Requires Loss of Two Regulations for Every New One and Orders Review of All Financial Services Laws and Rules
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

Last week, through the issuance of two Executive Orders, President Donald Trump began to follow through on his campaign promise to reduce the


FCM Resolves CME Clearing House Risk Committee Charge of Failing to Have BCP Procedures
  • Katten Muchin Rosenman LLP
  • USA
  • February 5 2017

On January 27, the CME Group Clearing House Risk Committee publicized four Disciplinary actions that were settled by clearing members. In one action


FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


FIA Publishes Due Diligence Questionnaire for IT Outsourcing
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

FIA's e-Trading Working Group published a due diligence questionnaire intended to help investment firms subject to the Markets in Financial


Inspector General Says CFTC Should Test FCMs’ and SDs’ Cybersecurity Policies
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Office of Inspector General of Commodity Futures Trading Commission's said the agency's Division of Swap Dealer and Intermediary Oversight should


DCO, DCM, SEF and SDR System Safeguard Rules Approved by CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • September 11 2016

The Commodity Futures Trading Commission adopted final amended rules implementing enhanced cybersecurity testing and other requirements for