Mondaq USA: Finance and Banking
Jones Day
Fondo Interbancario di Tutela dei Depositi is an Italian mandatory deposit guarantee scheme constituted by a consortium of private banks, whose public mandate is to reimburse the depositors of failing banks.
Cadwalader, Wickersham & Taft LLP
Cadwalader added two Special Counsel to the Financial Services Group and Corporate Group: Michael Sholem at the London office and Nick Ramphal at the New York office.
Cadwalader, Wickersham & Taft LLP
FINRA encouraged firms to be more engaged in the work of the self-regulatory organization and described the process for filling vacancies on FINRA committees and boards.
Cadwalader, Wickersham & Taft LLP
In an Investor Alert, FINRA and the SEC Office of Investor Education and Advocacy cautioned investors on the risks associated with "social sentiment investing tools".
Cadwalader, Wickersham & Taft LLP
The CFTC determination that Australia's margin requirements for uncleared swaps are comparable in outcome to the CFTC rules was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The CFTC rule change requiring the notification to counterparties of their right to elect to segregate initial margin in transactions with swap dealers was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The CFTC rule change regarding the standards for an SRO's financial surveillance examination program for futures commission merchants ("FCMs") was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for Order Audit Trail System ("OATS") reporting and Regulation NMS violations.
Cadwalader, Wickersham & Taft LLP
FINRA proposed to adopt legacy NASD and Incorporated NYSE Rules and Interpretations into the consolidated FINRA rulebook without any substantive changes.
Cadwalader, Wickersham & Taft LLP
The FRB, the FDIC and the OCC proposed requiring U.S. GSIBs to hold additional capital against the holdings of total loss-absorbing capacity ("TLAC") debt issued by other GSIBs.
Ropes & Gray LLP
Susan M. Olson, General Counsel, Investment Company Institute Ms. Olson noted the wide range of regulatory initiatives during 2018 and so far in 2019 that will impact registered funds and their service providers and shareholders.
Arnold & Porter
Depository institutions have been understandably reluctant to provide banking services to cannabis-related businesses in light of the significant (and costly) regulatory and compliance expectations that apply under the Bank Secrecy Act ...
Cadwalader, Wickersham & Taft LLP
On March 27, 2019, Cadwalader presented a webinar on recent anti-money laundering ("AML") developments affecting cannabis businesses, broker-dealers, blockchain transactions and draft legislation.
Cadwalader, Wickersham & Taft LLP
Federal Reserve Board Vice Chair for Supervision Randal Quarles identified three principles that are critical to the "relevance" and "vitality" of the Financial Stability Board ...
Cadwalader, Wickersham & Taft LLP
IOSCO issued a report on behavioral insights that could be used to improve retail investor protection.
Cadwalader, Wickersham & Taft LLP
The FDIC reported on the risks for financial institutions that contract with technology service providers.
Foley & Lardner
On March 27th, the Supreme Court issued a 1934 Act Rule 10b-5 opinion that will have implications for sponsors of private funds and their placement agents.
Proskauer Rose LLP
The trading activities of hedge funds raise a number of complex issues under the federal securities laws.
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") named Maryann Kennedy as the Senior Deputy Comptroller for Large Bank Supervision.
Cadwalader, Wickersham & Taft LLP
The CFTC interim final rule granting uncleared swaps "legacy status" in the event of a "no-deal" Brexit was published in the Federal Register ...
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Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Proskauer Rose LLP
The passthrough deduction provides a maximum effective rate of 29.6%.
Stroock & Stroock & Lavan LLP
On March 20, 2019, the Supreme Court issued its much-anticipated decision in Obduskey v. McCarthy & Holthus LLP,
Jones Day
Earlier this year, the Financial Industry Regulatory Authority released its 2019 Annual Risk Monitoring and Examination Priorities Letter.
Fenwick & West LLP
Released on November 30, 2018, the foreign tax credit proposed regulations provide a comprehensive new framework for calculating the foreign tax credit in light of several changes made by the Tax Cuts
Holland & Knight
New legislation has been proposed in Pennsylvania imposing specific restrictions and parameters on interest rate swaps entered into by certain cities, counties and municipal authorities in the Commonwealth.
Mayer Brown
This article summarizes some of the key trends to watch in 2019 in the consumer asset-backed securities (non-mortgage) space ...
Duff and Phelps
On March 12, 2019, the European Union updated the EU Blacklist of Non-Cooperative Jurisdictions in Taxation Matters and added 10 new jurisdictions to the list, including Aruba, Barbados, Belize, Bermuda, ...
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