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3 weeks ago | 
mondaq.com | Carl Kennedy |Carolyn Jackson |Nathaniel W. Lalone |Christopher Collins
The Division of Market Oversight (DMO) of the Commodity FuturesTrading Commission (CFTC) has withdrawn its previous staff advisoryletter on swap execution facility (SEF) registration requirements(Letter 21-19).
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2 months ago | 
mondaq.com | Carolyn Jackson |Christopher Collins |Ciara McBrien |Larry Wong
On 5 February 2025, the UK Financial Conduct Authority(FCA) published a policy statement(PS25/1) setting out its response and finalposition in relation to reforming the UK's commodityderivatives regulatory framework (Framework). BackgroundThe FCA consulted on the changes to the Framework in December2023 (CP23/27), proposing key changes regardingcommodity derivatives transactions in the UK.
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Jan 23, 2025 | 
jdsupra.com | Christopher Collins |Carolyn Jackson |Nathaniel W. Lalone
[co-author: Larry Wong]Following the UK Financial Conduct Authority (FCA)’s February 2024 consultation on changes to its Enforcement Guide and publicising enforcement investigations (CP 24/2) (First Consultation), the FCA has issued a further consultation on its proposals in November 2024 (CP 24/2, part 2) (Second Consultation). The Second Consultation sets out changes to the FCA’s initial proposals in response to feedback from the First Consultation.
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Dec 3, 2024 | 
jdsupra.com | Christopher Collins |Ciara McBrien |Sara Portillo
[co-author: Larry Wong]The European Securities and Markets Authority (ESMA) has recently published a consultation seeking feedback (Consultation) on draft technical advice to the European Commission on proposed amendments to the EU Markets in Financial Instruments II (EU MiFID II) Delegated Directive (Delegated Directive). The Consultation follows changes introduced by the EU Listing Act (Listing Act).
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Nov 29, 2024 | 
jdsupra.com | Christopher Collins |Carolyn Jackson |Nathaniel W. Lalone
The UK’s All-Party Parliamentary Group (APPG) on investment fraud and fairer financial services (a group of thirty Members of Parliament and a dozen members of the House of Lords) has published a press release and a “hard-hitting” report (Report) following its call for evidence (Call for Evidence) regarding current issues with the UK’s financial regulator, the Financial Conduct Authority (FCA).
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Nov 28, 2024 | 
mondaq.com | Carolyn Jackson |Nathaniel W. Lalone |Neil Robson |Christopher Collins
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Katten Muchin Rosenman LLP
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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.
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Nov 27, 2024 | 
mondaq.com | Christopher Collins |Nathaniel W. Lalone |Trisha Sircar |Gavin Vollans
UK Financial Insights from Katten is a monthly
newsletter highlighting key noteworthy developments potentially
affecting financial markets and funds in the UK and Europe.
To read more issues of UK Financial Insights from
Katten, please click here.
By Christopher Collins, Nathaniel Lalone
On November 1, the UK's onshored version of the EU's
Securitisation Regulation was replaced by the UK's new
regulatory framework for securitizations.
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Nov 21, 2024 | 
jdsupra.com | Christopher Collins |Nathaniel W. Lalone |Trisha Sircar
UK Financial Insights from Katten is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds in the UK and Europe. To read more issues of UK Financial Insights from Katten, please click here. By Christopher Collins, Nathaniel LaloneOn November 1, the UK's onshored version of the EU's Securitisation Regulation was replaced by the UK's new regulatory framework for securitizations.
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Nov 14, 2024 | 
mondaq.com | Nathaniel W. Lalone |James Brady |Carl Kennedy |Christopher Collins
The Securities and Exchange Commission (SEC) has recently
adopted final rules applicable to SEC-registered Covered Clearing
Agencies (CCA), which are intended to help protect investors by
enhancing CCAs' risk management practices to ensure their
resiliency and continuity in the event of catastrophic market
downturns.
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Nov 13, 2024 | 
jdsupra.com | James Brady |Christopher Collins |Carl Kennedy
The Securities and Exchange Commission (SEC) has recently adopted final rules applicable to SEC-registered Covered Clearing Agencies (CCA), which are intended to help protect investors by enhancing CCAs’ risk management practices to ensure their resiliency and continuity in the event of catastrophic market downturns.
