Mondaq USA: Finance and Banking
Orrick
On July 6, 2017, the European Banking Authority published a press release announcing the launch of a supplementary data collection relating to its proposals for a revised prudential framework...
Orrick
On July 5, 2017, the European Banking Authority ("EBA") published a press release announcing that the European Commission (EC) adopted an Implementing Regulation on June 29, 2017...
Cadwalader, Wickersham & Taft LLP
FINRA released a podcast summary of FINRA news, notices and resources from June 2017.
Cadwalader, Wickersham & Taft LLP
The CFTC charged a New York resident and his company with commodity pool fraud, off-exchange foreign currency derivatives fraud, and failure to register with the CFTC.
Cadwalader, Wickersham & Taft LLP
The United States House Committee on Small Business ("Committee") requested a briefing by the Consumer Financial Protection Bureau ("CFPB") regarding the agency's business lending data collection rulemaking.
Holland & Knight
Under a controversial new final rule issued by the Consumer Financial Protection Bureau (CFPB) on July 10, 2017, banks and credit card companies are prohibited from forcing consumers....
Davis & Gilbert
As lenders lean on data, algorithms and automation for more efficient loan underwriting, observers have noted that these largely untested tools have yet to go through an economic cycle.
Cadwalader, Wickersham & Taft LLP
MiFID II and MiFIR will be applicable across the European Union ("EU") beginning on January 3, 2018.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight (the "DMO") will undertake a comprehensive review of swap data reporting requirements.
Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") issued a new rule that restricts mandatory arbitration clauses in certain consumer financial contracts.
Orrick
On July 7, 2017, Kroll published its Research Recap for Q2 2017.
Orrick
On July 5, 2017, the Federal Reserve Board (the "Board") and the Federal Deposit Insurance Corporation ("FDIC") posted the public portions of the annual resolution plans, commonly known as living wills...
Orrick
On June 22, 2017, the Federal Reserve Board released the results of its annual supervisory stress tests conducted on 34 bank holding companies. According to the results, the nation's largest bank holding...
Morrison & Foerster LLP
Recently, the SEC's Office of Investor Advocate released the report it is required to file with the Committee on Banking, Housing and Urban Affairs of the U.S. Senate and the Committee on Financial Services...
Cadwalader, Wickersham & Taft LLP
The CFTC granted swap execution facility ("SEF") registration status to LedgerX, LLC, a New York-based company that has applied to be a bitcoin options exchange.
Cadwalader, Wickersham & Taft LLP
The Basel Committee on Banking Supervision ("BCBS") and IOSCO proposed criteria for identifying "simple, transparent, and comparable" ("STC") short-term securitizations.
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") described the principal risks facing national banks and federal savings associations in its Semiannual Risk Perspective for Spring 2017 (the "Report").
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") submitted a comment letter in support of proposed CFTC amendments (see previous coverage) regarding the duties of Chief Compliance Officers ("CCOs")...
Mayer Brown
When, if at all, should a mortgage lender or servicer be required to conduct business in a language other than English when the consumer has expressed a preference that language?
Dentons
Dentons has published its first ever global Taking Security Guide, which offers an overview of the requirements and regulations on taking security against loans in more than 30 countries across Europe...
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GuernseyFinance
Originally designed for use in the captive insurance sector, the protected cell company has established itself as a go-to-solution for a wide range of fund structuring in the 20 years since...
Arnold & Porter Kaye Scholer LLP
As part of their diversified investment programs, many family offices invest in private alternative investment funds, which may include real estate funds, hedge funds, private equity funds...
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.
GuernseyFinance
The deal was finalised on 5 June and is subject to regulatory approvals, following which HFSG will be rebranded under the Estera name.
Cadwalader, Wickersham & Taft LLP
The CFTC Market Risk Advisory Committee ("MRAC") met on June 20, 2017.
BakerHostetler
Repealing or substantially modifying the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) remains a top priority of Republican lawmakers.
Cadwalader, Wickersham & Taft LLP
This memorandum is written on the basis of our understanding of these agreed compromises.
Jones Day
Bank of the Ozarks garnered significant industry interest by merging its BHC into its bank on June 26, 2017.
Shearman & Sterling LLP
The revised EU Markets in Financial Instruments package—known as MiFID II—takes effect on January 3, 2018.
Shearman & Sterling LLP
On April 25, 2017, FINRA issued Regulatory Notice 17–18, Social Media and Digital Communications, addressing certain frequently asked questions regarding the use of social media...
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