Email not displaying correctly?
View it in your browser
Bridging the Week by Gary DeWaal (Abbreviated Independence Day Holiday Version): June 29 to July 3 and 6, 2015 (Diva of Distressed; Uncleared Margin; Reg MAR Breakdown; China; FINRA Defamation)
 
A shortened work-week in the United States because of the Independence Day holiday still saw a few important developments impacting firms in the financial services industry, including still yet another case regarding the location where the SEC should bring enforcement actions (i.e., federal court or administrative tribunal) and a CFTC proposal regarding uncleared swaps margin in cross-border transactions. As a result, the following matters are covered in this week’s abbreviated Independence Day holiday version of Bridging the Week:
  • China Regulator Issues Final Interim Measures Governing Overseas Access to Its Futures Markets (includes Helpful to Getting the Business Done);
  • Goldman Sachs Pays US $7 Million to SEC for Alleged Reg MAR Breakdown (includes My View);
  • CFTC Proposes to Apply Margin Obligations for Uncleared Swaps in Cross-Border Transactions on Broad Range of US Entities; Substituted Compliance Potentially Available;
  • “Diva of Distressed” Loses Bid to Have SEC Enforcement Action Heard in Federal Court, Not Administrative Tribunal;
  • Deloitte & Touche Settles SEC Charges for Violating Auditor Independence Rules;
  • FINRA Expresses Formal Support for Members of Disciplinary and Appellate Panels Who Have Become Subjects of Alleged Disparaging Online Attacks; and more.
Click here to access the video and article versions of this week’s abbreviated version of Bridging the Week.
 
Did you miss last week’s edition of Bridging the Week? Click
here to access. Because of the Independence Day holiday, there was no Corporate and Financial Weekly Digest by Katten Muchin Rosenman LLP last week.
 
For further information, contact:
 
Gary DeWaal
Katten Muchin Rosenman
575 Madison Avenue
New York, New York
(212) 940-6558

gary.dewaal@kattenlaw.com

Forward to a Colleague

AUSTIN | CENTURY CITY | CHARLOTTE | CHICAGO | HOUSTON | IRVING | LONDON | LOS ANGELES

NEW YORK | ORANGE COUNTY | SAN FRANCISCO BAY AREA | SHANGHAI | WASHINGTON, DC

 

©2015 Katten Muchin Rosenman LLP. All rights reserved. Attorney advertising.

 

The information in this article is for informational purposes only and is derived from sources believed to be reliable. No representation or warranty is made regarding the accuracy of any statement or information in this article. Also, the information in this article is not intended as a substitute for legal counsel, and is not intended to create, and receipt of it does not constitute, a lawyer-client relationship. The impact of the law for any particular situation depends on a variety of factors; therefore, readers of this article should not act upon any information in the article without seeking professional legal counsel. Katten Muchin Rosenman LLP may represent one or more entities mentioned in this article.

 

www.kattenlaw.com

This email was sent to johnlothian@johnlothian.com

why did I get this?  |  unsubscribe from this list  |  update subscription preferences 
Gary DeWaal/Katten Muchin Rosenman LLP · 575 Madison Avenue · New York, NY 10022 · USA