| Aug 14 2015 |
Hong Kong Securities and Futures Commission (HKSFC) Issues Circular on Application Process for Exemptive Relief Under CFTC Regulation 30.10 |
Katten |
| Aug 21 2015 |
UK: New FCA Handbook and PRA Rulebook Websites to Launch Next Week |
Katten |
| Sep 19 2015 |
ESMA Raises Market Risk Indicator for European Securities to Highest Level |
Katten |
| Jul 28 2017 |
ISDA To Publish T+2 Protocol |
Katten |
| Feb 23 2014 |
Federal Reserve Approves Final Rule Regulating Bank Holding Companies and Foreign Banking Organizations |
Katten |
| Aug 14 2015 |
EU Securities Financing Transactions Regulation––Shining a Light on Shadow Banking |
Katten |
| Sep 14 2015 |
Bridging the Weeks: August 31 to September 11 and September 14, 2015 (Spoofing, Individual Accountability, Cybersecurity, Audit Opinions, Hedging and Reporting) |
Katten |
| Nov 14 2016 |
Foreign Listed Stock Index Futures and Options Approval Chart November 2016 |
Katten |
| Jan 12 2018 |
FINRA Releases 2018 Regulatory and Examination Priority Letter |
Katten |
| Apr 15 2019 |
FSB Publishes Directory of Cryptoassets Regulators |
Katten |
| Dec 13 2019 |
SEC Issues Guidance on Substituted Compliance Applications by Non-US Security-Based Swap Dealers and Major Security-Based Swap Participants |
Katten |
| Mar 12 2021 |
The Desirability of Registering a New International Interest When Extending the Term of a Lease |
Katten |
| Dec 27 2012 |
No-Action Letter Regarding Definition of "Ready Market" with Regard to Foreign Equity Securities Pursuant to SEC Rule 15c3-1(c)(11)(i) |
Katten |
| Feb 23 2013 |
International Regulators Publish "Near-Final" Draft of Uncleared Swap Margin Rules |
Katten |
| Mar 6 2015 |
New Volcker Guidance Helps Non-US Banks |
Katten |
| Jun 6 2015 |
The UK Financial Conduct Authority FCA Publishes Its Bi-Annual Hedge Fund Survey |
Katten |
| Oct 18 2016 |
Foreign Listed Stock Index Futures and Options Approvals Chart: October 17,2016 |
Katten |
| Mar 8 2019 |
BCBS/IOSCO Provide Guidance on Uncleared Swap Margin Rule Implementation |
Katten |
| Jun 13 2022 |
Aircraft Lessors Should Prepare for UK Restructuring Processes |
Katten |
| Mar 6 2015 |
Financial Action Task Force Publishes Updated List of Deficient Jurisdictions |
Katten |
| Jun 6 2015 |
UK FCA Provides Comments to European Commission on Proposed EU Capital Markets Union |
Katten |
| Aug 29 2016 |
Bail-In and Contractual Recognition: Impact on US and Other Non-EU Counterparties, Potential Impact of Brexit |
Katten |
| Sep 7 2019 |
ISDA Publishes Narrowly Tailored Credit Event (NTCE) Protocol |
Katten |
| Aug 14 2020 |
Wolfsberg Group Publishes Statement on Developing Effective AML and CTF Program |
Katten |
| Mar 12 2021 |
SEC Issues No Action Letter on Treatment of Reserved Powers Trust as Non-US Person by Non-US Investment Adviser for Registration Exemption |
Katten |
| May 12 2013 |
Consumer Financial Protection Bureau Releases Final Rule on International Remittance Transfers |
Katten |
| Nov 16 2014 |
Commodity Futures Trading Commission (CFTC) Issues 30.7 Customer Funds No-Action Relief and Interpretation |
Katten |
| Mar 6 2015 |
Banker Settles with SEC for Role in Olympus Scandal |
Katten |
| Aug 17 2015 |
Bridging the Week: August 10 – 14 and 17, 2015 (Hacking, Layering, Dark Pools; Manipulation, Position Limits and Fiduciary Duties) |
Katten |
| Jan 20 2017 |
40 Days Left Until Compliance Date for Variation Margin Rules for Uncleared Swaps |
Katten |
| Aug 3 2018 |
CFTC Extends No-Action Relief to Shanghai Clearing Firm |
Katten |
| Apr 10 2020 |
BCBS and IOSCO Announce another Postponement of Swap Initial Margin |
Katten |
| Oct 30 2020 |
ISDA Publishes IBOR Fall Back Supplement and Related Protocol |
Katten |
| Feb 24 2013 |
Commodity Futures Trading Commission (CFTC) and International Organization of Securities Commissioners (IOSCO) to Host Roundtable on IOSCO Financial Benchmarks Report |
Katten |
| Mar 7 2015 |
European Court Sides with the United Kingdom on Euro Clearing |
Katten |
