Matthew Kluchenek

Katten Muchin Rosenman LLP

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Financial Markets and Funds Quick Take | Issue 40

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

7/17/2025 / Broker-Dealer , Digital Assets , Financial Markets , Investment , Regulatory Requirements

CFTC’s FCM FAQ Aims to Guide New Market Entrants but Adds No New Obligations

On June 30, the Commodity Futures Trading Commission’s (CFTC) Market Participants Division (MPD) published a new FAQ clarifying requirements and expectations around futures commission merchant (FCM) registration and ongoing...more

7/7/2025 / CFTC , Financial Reporting , Futures Commission Merchants (FCMs) , Regulatory Requirements , Risk Management

Financial Markets and Funds Quick Take | Issue 39

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds....more

6/26/2025 / CFTC , Cryptocurrency , Financial Institutions , Financial Markets , Investment Funds , Private Funds , Proposed Rules , Regulatory Reform , Regulatory Requirements , Securities and Exchange Commission (SEC)

Clearer Skies Ahead: CFTC Enforcement Division's New Advisory Opens Doors for Self-Reporting and Increased Cooperation

In what is being widely viewed as a welcome breath of fresh air, the Commodity Futures Trading Commission (the Commission or CFTC) Division of Enforcement (the Division) released an advisory on February 25, detailing the...more

3/10/2025 / CFTC , Civil Monetary Penalty , Enforcement Actions , Executive Orders , Regulatory Reform , Regulatory Requirements , Risk Management , Self-Reporting , Transparency

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