Mondaq USA: Finance and Banking
On May 18, 2017, Ugo Bassi, Director of Financial Markets, European Commission DG FISMA, confirmed that the Commission will publish its midterm review of the capital markets union on June 7, 2017.
Morrison & Foerster LLP
On 4th May 2017, the European Commission announced its proposals to amend the current European Market Infrastructure Regulation (Reg. No. 648/2012) ("EMIR").
Cadwalader, Wickersham & Taft LLP
FINRA President and CEO Robert Cook emphasized the need for FINRA to adapt and make progressive changes in response to an evolving financial industry.
Cadwalader, Wickersham & Taft LLP
The Managed Funds Association ("MFA") summarized its regulatory priorities and advocated an approach that "protects investors, enhances regulatory coordination, promotes market transparency and increases market fairness and efficiency."
Clyde & Co
In this interview, Brown Brothers Harriman Sr. Vice President of Corporate Banking, Lewis Hart, speaks with John Keough, a Partner at Clyde & Co, to review how special liens can work...
Kramer Levin Naftalis & Frankel LLP
Before joining the Senate Banking Committee, Moskowitz served as a counsel on the Financial Services Committee of the House of Representatives, where he worked on legislative...
Kramer Levin Naftalis & Frankel LLP
New Public Alternative Funds
Kramer Levin Naftalis & Frankel LLP
This alert examines the key provisions of the Financial CHOICE Act, which, if passed, would significantly alter the Dodd-Frank Act, repealing many post-financial crisis rules and regulations.
Ropes & Gray LLP
In a recently released Ropes & Gray podcast, asset management partner Isabel Dische, tax partner Brett Robbins, and private client partner Cameron Casey discuss the effect of Section 457A ...
Morrison & Foerster LLP
The FDIC released orders for restitution and to pay civil money penalties (Orders), but did not release the consent agreements executed by the Bank, FSI or MCS with the stipulated facts and findings.
Cadwalader, Wickersham & Taft LLP
FINRA issued an updated Investor Alert on crowdfunding rules and processes (see previous coverage).
Cadwalader, Wickersham & Taft LLP
FINRA proposed amending FINRA Rule 7730 ("Trade Reporting and Compliance Engine") ("TRACE") to begin offering an "End-of-Day TRACE Transaction File," which would allow market participants...
On May 22, 2017, the Commodity Futures Trading Commission (CFTC or Commission) amended its whistleblower rules to enhance protections for whistleblowers against retaliation and assert its own authority...
Duane Morris LLP
Many banking lawyers believe recent actions by federal courts, and by Congress represent the greatest threat to the Consumer Financial Protection Bureau (CFPB) since its existence.
Wilson Elser Moskowitz Edelman & Dicker LLP
In the wake of the promulgation of new cybersecurity regulations by New York State's Department of Financial Services, Colorado has proposed cybersecurity regulations for broker-dealers, investment advisers and other fund managers in the ever-changing privacy landscape.
Mayer Brown
The long awaited en banc oral argument in the PHH v. CFPB appeal was heard this morning. Based upon the questions asked by the judges, and with the caveat that such questioning is not always an indicator of how a court will rule, it seems likely that the D.C. Circuit will not find the CFPB to be unconstitutionally structured.
Stradley Ronon Stevens & Young, LLP
Echoing last year's opinion in Sivolella, finding no liability for allegedly excessive fees charged by Axa advisers to mutual fund investors, the District of New Jersey again ruled in favor of...
Kleinberg, Kaplan, Wolff & Cohen, P.C.
A Section 475(f) election might be beneficial for a fund experiencing losses in 2017 or possibly where a fund has significant net unrealized losses coming into 2017.
Seyfarth Shaw LLP
Seyfarth Shaw's ADA Title III report was referenced in a May 17 story "The Mortgage Industry's Next Headache: Website Accessibility Requirements" from Mortgage Orb on the new focus on...
Cadwalader, Wickersham & Taft LLP
CFTC Chief of Staff Mike Gill discussed CFTC Acting Chair J. Christopher Giancarlo's commitment to reviewing rules that might hinder market growth and liquidity, and to do away with those that are...
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The Brattle Group, Inc.
Major infrastructure investments—especially pro- jects and programs of regional and national signifi- cance—can generate major "spillover" benefits to the general public...
Arnold & Porter Kaye Scholer LLP
While closed-end real estate private equity funds (Real Estate Funds) are generally structured similarly to traditional private equity funds, there are several key differences.
Vedder, Price P.C.
On April 25, 2017, the U.S. District Court for the Northern District of Illinois issued an order denying the plaintiffs' motion to compel Calamos Investment Trust, a Massachusetts business trust,...
Over the past year, regulators continued to actively examine compliance, introduce new and heightened requirements, recalibrate global priorities, and aggressively pursue enforcement.
Troutman Sanders LLP
The United States Supreme Court declined a petition for writ of certiorari by a consumer regarding a collection letter on law firm letterhead with attorney signatures.
Cadwalader, Wickersham & Taft LLP
The Bank for International Settlements published a Report that found that changes in the availability and cost of repurchase agreement financing are affecting the ability of repo markets to support the financial system.
Stroock & Stroock & Lavan LLP
The Consumer Financial Protection Bureau's ("CFPB" or "Bureau") May 10, 2017 field hearing and issuance of a Request for Information ("RFI") regarding the small business lending market, particularly credit issues facing small businesses owned by women and minorities, have stirred worries about new regulatory burdens on this sector.
Morrison & Foerster LLP
Since going into effect in 2013, the EU Alternative Investment Fund Managers Directive (the "AIFMD") has imposed significant limitations on the marketing of J-REITs to European investors...
Jones Day
The European Commission has launched a tender offer to conduct a comprehensive assessment of the competitive aspects of the EU market for syndicated loans.
Jones Day
One of the regulatory pillars of the EMIR is the requirement for parties to collateralize the marked-to-market exposure in over-the-counter derivatives transactions that are not cleared by a central clearing system.
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