Christian B. Hennion

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Articles

Foreign Listed Stock Index Futures And Options Approvals January 2025

2 months ago | mondaq.com | Daniel Davis |Carl Kennedy |Stephen Morris |Christian B. Hennion

KM Katten Muchin Rosenman LLP More Katten is a firm of first choice for clients seeking sophisticated, high-value legal services globally. Our nationally and internationally recognized practices include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth.
Not-So-New News Flash? Change in Administration Ushers Back a Deregulatory Agenda – Implications for Investment Advisers | JD Supra

Dec 6, 2024 | jdsupra.com | Adam Bolter |Christian B. Hennion

While most industry observers agree that the transition to the new presidential administration will bring with it a deregulatory agenda, members of Katten’s asset management regulatory team compiled their Top-5 Holiday Wish List (in no particular order): [Spoiler Alert: There’s a pretty heavy focus on private funds.] For over 20 years, the Securities and Exchange Commission (SEC) Staff has limited closed-end funds from investing in private funds unless the closed-end funds are available only...
Foreign Listed Stock Index Futures And Options Approvals November 2024

Nov 12, 2024 | mondaq.com | Daniel Davis |Carl Kennedy |Stephen Morris |Christian B. Hennion

KM Katten Muchin Rosenman LLP More Katten is a firm of first choice for clients seeking sophisticated, high-value legal services globally. Our nationally and internationally recognized practices include corporate, financial markets and funds, insolvency and restructuring, intellectual property, litigation, real estate, structured finance and securitization, transactional tax planning, private credit and private wealth.
Investment Advisers

Aug 27, 2024 | mondaq.com | Nicholas Gervasi |Christian B. Hennion |Richard Marshall

Vice President Kamala Harris's selection of Minnesota Gov. Tim Walz as her running mate imposes restrictions on campaign contributions to the Harris-Walz campaign by federally registered investment advisers (RIAs), exempt reporting advisers (ERAs) and their Covered Associates (as defined below) and other financial industry professionals under various federal pay-to-play laws. As Gov.
Judge Dismisses Case Against Seeking Alpha: Implications for Publishers of Financial Information | JD Supra

Aug 26, 2024 | jdsupra.com | Adam Bolter |Christian B. Hennion

In a recent decision, the US District Court for the Southern District of New York dismissed a proposed class action against Seeking Alpha, Inc., ruling that the financial content platform falls within the "publisher's exclusion" from the definition of an investment adviser.1 This case sheds light on the scope of the exclusion in the digital age and, in a regulatory area with limited guidance, offers recent and valuable insights for financial publishers and content platforms.
Private Fund Adviser Rule Q&A: Spotlight on Preferential Treatment | JD Supra

May 20, 2024 | jdsupra.com | Adam Bolter |Wendy Cohen |Christian B. Hennion

Editorial Note: In a follow-up to our summary of the SEC’s new private fund adviser rule, Katten attorneys share their views on implementation questions related to a variety of new requirements applicable to advisers to private funds. Our last Q&A focused on certain restricted activities. In this Q&A, Katten will examine the preferential treatment rule. Q&A: GeneralQ: Does the new private funds rule prohibit all preferential terms granted to fund investors?
Foreign Listed Stock Index Futures And Options Approvals December 2023

Dec 28, 2023 | mondaq.com | James Brady |Daniel Davis |Gary DeWaal |Christian B. Hennion

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of December 19, 2023. All prior versions are superseded and should be discarded.
Employment Law Software

Oct 24, 2023 | natlawreview.com | Thomas Kane |Jeffrey Rummel |Christian B. Hennion |Mia Hayes

The legal landscape is evolving, and employment law firms are keeping pace with the changing times and trends. Legal case management software is now an integral part of many practices, including those that specialize in employment and labor law. With such a diverse clientele, such as employees, employers, government bodies, and state union relations, the need for such software is undeniable.
Significant Changes Proposed to CFTC Rule 4.7 'Registration Lite'

Oct 24, 2023 | natlawreview.com | Christian B. Hennion

For the last three decades, CFTC Regulation 4.7 has provided registered CPOs and CTAs with exemptions from certain compliance requirements under Part 4 of the Commodity Exchange Act, in their dealings with investors and clients that are “qualified eligible persons” (or “QEPs”) under that rule.
Significant Changes To Proposed CFTC Rule 4.7 'Registration Lite'

Oct 22, 2023 | mondaq.com | Christian B. Hennion |Mia Hayes

For the last three decades, CFTC Regulation 4.7 has provided registered CPOs and CTAs with exemptions from certain compliance requirements under Part 4 of the Commodity Exchange Act, in their dealings with investors and clients that are "qualified eligible persons" (or "QEPs") under that rule.