Beginning on June 5, the Financial Industry Regulatory Authority Dispute Resolution Services (FINRA DRS) will permit in-person hearings to resume at most of its hearing locations for in-person arbitration and mediation proceedings.
Corporate & Financial Weekly Digest
The Corporate & Financial Weekly Digest, published by Katten Muchin Rosenman, covers legal developments and regulatory updates relevant to corporate and financial sectors. It addresses topics such as securities regulation, broker-dealer compliance, derivatives markets, digital assets, corporate transparency laws, and financial industry oversight by agencies like the SEC, FINRA, and CFTC. The digest also discusses legislative changes impacting corporate governance and financial reporting, as well as case studies and firm news related to mergers, acquisitions, and capital markets transactions. It serves as a resource for legal professionals and industry participants seeking information on evolving financial regulatory frameworks and corporate law issues.
Latest from Corporate & Financial Weekly Digest - Page 2
SEC Division of Investment Management Staff Publishes Public Statement on Funds Registered Under Investment Company Act Investing in Bitcoin Futures Market
By Susan Light & Shelby Kost
On May 11, the Securities Exchange Commission’s (SEC) Division of Investment Management (IM) staff issued a Public Statement (Statement) strongly encouraging any investor interested in investing in mutual funds exposed to the Bitcoin futures market to carefully consider the risks…
Consolidated Audit Trail Publishes New Roadmap to Assist Small Firms With Reporting Obligations
By Susan Light & Shelby Kost
On May 7, Consolidated Audit Trail, LLC and FINRA CAT, LLC (CAT) published a new roadmap to assist Small Firms with their reporting obligations for CAT Reportable Securities by the compliance date of December 13.…
CFTC Announces Energy and Environmental Markets Advisory Committee Meeting
The Commodity Futures Trading Commission (CFTC) has announced that its Energy and Environmental Markets Advisory Committee (EEMAC) will hold a meeting on June 3 at 9:00 a.m. (ET).…
FCA Consults on New Authorized Fund Regime for Investing in Long-Term Assets
On May 7, the Financial Conduct Authority (FCA) published a consultation paper on a new UK-authorized fund regime for investing in long-term assets (CP21/12). These assets are often called productive finance and include venture capital, private equity, private debt, real…
UK Government Publishes Guidance on Supply of Emissions Allowances in UK ETS
On May 10, the UK Government published its guidance on the supply of emissions allowances in the UK Emissions Trading Scheme (UK ETS). The UK ETS was introduced on January 1, replacing the United Kingdom’s participation in the EU Emission…
FCA Replaces Data Collection Platform Gabriel With RegData
On May 11, the Financial Conduct Authority (FCA) updated its webpage announcing the replacement of Gabriel, its data collection platform for gathering regulatory data from firms.…
COVID-19: FCA Updates Webpage on Changes to Regulatory Reporting
On May 11, the Financial Conduct Authority (FCA) updated its webpage on changes to regulatory reporting during the COVID-19 pandemic.…
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. …