Nathaniel W. Lalone

London

Featured in: Favicon

jdsupra.com Favicon

natlawreview.com Favicon

lexology.com Favicon

mondaq.com Favicon

lexblog.com Favicon

financialregulationintl.com

Articles

Winding Back The Clock: CFTC Withdraws Controversial SEF Registration Staff Letter

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The Division of Market Oversight (DMO) of the Commodity FuturesTrading Commission (CFTC) has withdrawn its previous staff advisoryletter on swap execution facility (SEF) registration requirements(Letter 21-19).
UK Financial Insights From Katten | Issue 18

2 months ago | mondaq.com | Nathaniel W. Lalone |Ciara McBrien |Oliver Williams |Edward Tran

UK Financial Insights from Katten is a monthlynewsletter highlighting key noteworthy developments potentiallyaffecting financial markets and funds in the UK and Europe. To read more issues of UK Financial Insights fromKatten, please click here.
FCA Consults On Second Phase Of Enforcement Investigation Proposals

2 months ago | mondaq.com | Carolyn Jackson |Nathaniel W. Lalone |Neil Robson |Christopher Collins

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. United States Finance and Banking
FCA Consults on Second Phase of Enforcement Investigation Proposals | JD Supra

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.
UK Parliamentary Group Publishes “Hard-Hitting” Report on the FCA | JD Supra

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).
UK Parliamentary Group Publishes "Hard-Hitting" Report On The FCA

Nov 28, 2024 | mondaq.com | Carolyn Jackson |Nathaniel W. Lalone |Neil Robson |Christopher Collins

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.
UK Financial Insights From Katten | Issue 16

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.
The SEC Adopts Rules Amending the Covered Clearing Agency Standards

Nov 26, 2024 | natlawreview.com | Nathaniel W. Lalone

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.
UK Financial Insights from Katten | Issue 16 | JD Supra

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.
The SEC Adopts Rules Amending The Covered Clearing Agency Standards

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.