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The Industry Discusses Potential Changes to Dodd-Frank Regulation,Regulation & Enforcement,Video,video

At the 33rd Annual FIA Futures and Options Expo in mid-October, John Lothian News spoke with a variety of industry participants about upcoming milestones and trends in financial markets. This seventh and final video in the series addresses the recent efforts by the CFTC to take commentary from the industry regarding potential changes to Dodd-Frank. In this video, Julie Winkler, chief commercial officer with CME Group, Gary DeWaal, special counsel with Katten Muchin Rosenman, Ben Morof, chief compliance officer for Teza Capital Management and Carl Gilmore, president of Integritas Financial Consulting talk about some potential improvements.

The Industry Discusses Cryptocurrencies and DLT, Part II Feature,Video,video

At the 33rd Annual FIA Futures and Options Expo in mid-October, John Lothian News spoke with a variety of industry participants about upcoming milestones and trends in financial markets. This sixth video in the series is the second to cover the booming cryptocurrency space and its technological underpinnings. In part two, Gary DeWaal, special counsel with Katten Muchin Rosenman, John Omahen, FIS’ head of product strategy, Anthony Tassone, founder of GreenKey Technologies and Carl Gilmore, president of Integritas Financial Consulting share their thoughts on the crypto space.  

Germination And Emergence: Allison Yacker on Emerging Manager Seeding Arrangements Interview,Regulation,Video

In the trading space, much like the rest of the world, some of the best ideas and strategies come from emerging managers, or the “new kids on the block.” The trick is finding the right right win-win partnership to help get them on their way. Today, it is the large managed funds that control most of the assets. A recent study from hedge fund research firm Preqin shows that big funds – those with over a billion under management, manage more than 90 percent of the assets. And last year, the hedge fund space had $3.2 trillion assets under management,…

Lance Zinman, Katten Muchin Rosenman, SEC Hedge Fund Marketing Rule Interview,Managed Futures,Regulation,Video

Lance Zinman

Among the provisions of the Jumpstart Our Business Startups (JOBS) Act, signed in April 2012, is a mandate that the SEC remove the restrictions on general solicitation or general advertising for securities offerings relying on Rule 506 exemptions. Under previous rules, any entity wishing to raise capital by selling securities must register with the SEC unless the entity qualifies for one of several exemptions to the registration requirement. Private funds such as hedge funds generally rely on the Rule 506 exemption, which specifies that such entities may only market to accredited investors. The SEC first proposed rules in August 29,…