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Notification Requirements › Financial Services Industry › Regulatory Requirements

Katten Muchin Rosenman LLP

CFTC Staff Issues Relief Intended to Reduce Burdens of Swap Data Notification Requirements

Katten Muchin Rosenman LLP on

Staff from the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight issued No-Action Relief Letter 25-25 on July 31, 2025 to help ease compliance burdens placed on reporting counterparties in meeting the...more

Hogan Lovells

Appointed Representatives: FCA confirms changes to increase responsibilities of principal firms

Hogan Lovells on

The FCA has published a policy statement and final rules aimed at improving the appointed representatives (ARs) regime. Previous FCA data analysis had shown that there are more issues arising from principals and ARs than from...more

Akin Gump Strauss Hauer & Feld LLP

A Change in FCA Process for Submitting Net Short Position Notifications

Akin Gump Strauss Hauer & Feld LLP on

On 25 February 2020, the UK Financial Conduct Authority (FCA) updated its process for the notification and disclosure of net short positions under the European Union Short Selling Regulation (SSR). To be able to submit a...more

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