On May 11, the Financial Conduct Authority (FCA) updated its webpage on changes to regulatory reporting during the COVID-19 pandemic.
Katten Muchin Rosenman
Katten is a full-service law firm with more than 600 attorneys in locations across the United States and an affiliate in London. We strive to be a firm of first choice for clients seeking sophisticated, high-value legal services nationally and globally. While Katten offers an extensive range of legal services across numerous industries, our core areas of practice include corporate, financial services, litigation, real estate, commercial finance, intellectual property and trusts and estates. Among our clients are a wide range of public and private companies, including a third of the Fortune 100, as well as a number of government and nonprofit organizations and individuals.
Website:
https://katten.com/
Latest from Katten Muchin Rosenman - Page 3
ESG: European Commission Consults on Draft Delegated Regulation of Disclosure Obligations Under Taxonomy Regulation
On May 7, the European Commission (Commission) published its consultation on a draft Delegated Regulation expanding Article 8 of the Taxonomy Regulation ((EU) 2020/852) by specifying the disclosure obligations associated with environmentally sustainable economic activities relating to large corporations.…
FINRA Seeks Comment Regarding Diversity and Inclusion Initiatives
The Financial Industry Regulatory Authority (FINRA) is seeking comment on rules, operations and administrative processes that may create unintended disparate impacts on those within the industries that FINRA regulates. …
FINRA Seeks Comment on Proposed Amendments to Margin Rule Requirements
The Financial Industry Regulatory Authority (FINRA) is requesting comment on proposed amendments to Rule 4210 (Margin Requirements) that seek to clarify current interpretations related to extended settlement transactions.…
CFTC Issues Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V. to Permit Trading by Direct Access From United States
On May 5, the Commodity Futures Trading Commission (CFTC) announced that it had issued an Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V. (MexDer), a Foreign Board of Trade (FBOT) and subsidiary of the Mexican Stock Exchange…
CFTC Issues No-Action Response Letter Providing Relief to DCO From Complying With Specified Part 39 Regulatory Requirements
On May 3, the Division of Clearing and Risk (DCR) of the Commodity Futures Trading Commission (CFTC) published Staff Letter No. 21-13 (Staff Letter), providing CX Clearinghouse, L.P. (CX) with no-action relief from specified Part 39 regulations applicable to derivatives…
FCA Publishes Discussion Paper on Strengthening Financial Promotion Rules for High-Risk Investments and Firms Approving Financial Promotions
On April 29, the Financial Conduct Authority (FCA) published a discussion paper (DP21/1) on strengthening its financial promotion rules for high-risk investments and firms approving financial promotions.…
LEI ROC Consults on Changes to Technical Guidance on Harmonization of Critical OTC Derivatives Data Elements
On May 5, the Legal Entity Identifier Regulatory Oversight Committee (LEI ROC) published a consultative document on changes to the technical guidance on the harmonization of critical over-the-counter (OTC) derivatives data elements (CDE Technical Guidance).…
HM Treasury Intends to Remove UK MiFIR Open Access Regime for ETDs
On May 5, HM Treasury announced its intentions to remove the UK Markets in Financial Instruments Regulation (UK MiFIR) from the open access regime for exchange traded derivatives (ETDs).…
SEC Small Business Capital Formation Advisory Committee to Discuss Opportunities for Underrepresented Founders and Investors
By Susan Light & Jack A. West
On April 26, the Securities and Exchange Commission announced that its Small Business Capital Formation Advisory Committee (Committee) will meet on Friday, April 30, to discuss solutions to increase access to capital for underrepresented founders and investors from smaller, regional…