On March 26, the Joint Committee of the European Supervisory Authorities (ESAs) published a set of Q&As on the Securitisation Regulation (EU) 2017/2402, covering questions that fall outside the scope of any of the three ESAs.
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Latest from Katten Muchin Rosenman - Page 9
SEC Issues Amendments, Seeks Public Comment on Holding Foreign Companies Accountable Act
On March 24, the Securities and Exchange Commission adopted interim final amendments to implement congressionally mandated submission and disclosure requirements of the Holding Foreign Companies Accountable Act (HFCA Act).…
SEC Responds to Investor Demand by Bringing Together Agency Information About Climate and ESG Issues
On March 22, the Securities and Exchange Commission launched a new page on its website to bring together agency actions and the latest information about climate and environmental, social and governance (ESG) investing.…
FINRA CAT Production Readiness Certification Deadline
Consolidated Audit Trail, LLC (CAT) and Financial Industry Regulatory Authority CAT, LLC (FINRA) remind industry members and CAT reporting agents that the deadline to request Production Readiness Certification for the CAT CAIS LTID Production Environment is Friday, April 9.…
FINRA Requests Comment on Proposed Amendments to Margin Rule 4210
On March 14, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-11 (Notice), which seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other…
FINRA Reminds Member Firms of Obligations for Customer Order Handling, Margin Requirements and Effective Liquidity Management Practices During Extreme Market Conditions
On March 18, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 21-12 (Notice), which reminds member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.…
NFA Issues Notice Regarding Effective Date of Interpretive Notice on Use of Third-Party Service Providers
On March 24, the National Futures Association (NFA) issued Notice I-21-13 to advise member firms that the Interpretive Notice entitled, “NFA Compliance Rules 2-9 and 2-36: Members’ Use of Third-Party Service Providers” (Interpretive Notice) will become effective September 30.…
Post-Brexit Financial Services in United Kingdom — Bank of England Commentary Published
By Neil Robson
On March 23, the United Kingdom’s House of Commons Treasury Committee published the Bank of England’s (BoE) ‘written evidence’/responses to a UK Government inquiry into the post-Brexit future of financial services in the United Kingdom (the Response).…
UK FCA Launches New Whistleblowing Initiative
By Neil Robson
On March 24, the United Kingdom’s Financial Conduct Authority (FCA) announced the launch of a campaign to encourage individuals to report wrongdoing — i.e., whistleblowing.…
COVID-19: FCA extends Flexibility on RTS 27 Reports and 10 Percent Depreciation Notifications
On March 19, the Financial Conduct Authority (FCA) published a statement announcing that it is establishing temporary measures on RTS 27 reports on execution quality. Commission Delegated Regulation (EU) 2017/575 contains regulatory technical standards (RTS) specifying the content, format and…