Mondaq USA: Finance and Banking > Financial Services
Cadwalader, Wickersham & Taft LLP
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
Cadwalader, Wickersham & Taft LLP
In a new report on interconnectedness and systemic risk, IOSCO, the Financial Stability Board, the Committee on Payments and Market Infrastructures ...
Cadwalader, Wickersham & Taft LLP
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
Mayer Brown
Offering documents for structured certificates of deposit make clear that the dealers selling the CDs will not make a market in the CDs.
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") proposed a revision to a report that must be completed in connection with capital assessments and stress testing requirements.
Cadwalader, Wickersham & Taft LLP
New York Department of Financial Services ("DFS") Superintendent Maria Vullo reminded all DFS-regulated entities covered by DFS's cybersecurity regulation ("covered entities") ...
Schnader Harrison Segal & Lewis LLP
In order to pursue its Congressional mandate to enforce Federal consumer financial laws, the CFPB may compel the production of documents or testimony by issuing a civil investigative demand ...
Arnold & Porter
On August 8, 2018, the FinCEN extended for an additional 30 days the exceptive relief granted to covered financial institutions from collecting beneficial ownership information on certain accounts...
Womble Bond Dickinson
Opportunity Zones are a powerful new economic development tool, designed to mobilize investment in underserved communities across the nation.
Cadwalader, Wickersham & Taft LLP
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
Cadwalader, Wickersham & Taft LLP
The Financial Crimes Enforcement Network ("FinCEN") extended previously granted relief that temporarily exempts certain products and services from the Beneficial Ownership Rule.
Cadwalader, Wickersham & Taft LLP
A coalition of 17 Attorneys General ("AGs") urged the SEC to bolster the requirements set out in proposed Regulation Best Interest (the "Proposed Rule").
Frankfurt Kurnit Klein & Selz
Financial institutions and insurance companies operating in New York have until September 3, 2018 to comply with the next phase of New York's Cybersecurity Regulations.
Mayer Brown
Many of the issues related to these nontraditional custom indices are familiar to those who are aware of the regulatory attention paid to complex products over the years.
Mayer Brown
Material conflicts of interest arising from financial incentives are treated differently under the Regulation, as those conflicts must be mitigated or eliminated, whereas other material conflicts of interest may be resolved with disclosure only.
Kramer Levin Naftalis & Frankel LLP
The Closed-End Fund Center held a Q&A with Jeremy Held, Senior Vice President and Director of Research for ALPS, Jeremy Goff, Managing Director for Tortoise, and Brody Browe
Kramer Levin Naftalis & Frankel LLP
AllianceBernstein reached an agreement with iCapital Network for a white label platform to allow high-net-worth investors at registered investment advisory firms ...
Cadwalader, Wickersham & Taft LLP
The FRB final rule implementing single-counterparty credit limits for certain U.S. bank holding companies and foreign banking organizations operating in the United States was published in the Federal Register.
Foley & Lardner
Property Assessed Clean Energy ("PACE") programs continue to expand across the country. Most recently, on June 12, 2018, Pennsylvania enacted legislation to bring PACE energy programs to that state.
BakerHostetler
While the earlier legislation to chip away at Dodd-Frank won bipartisan Senate support, its coalition was fragile.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
BakerHostetler
On Dec. 5, 2017, the Federal Trade Commission reached a settlement with three defendants who it alleged partook in deceptive, abusive and unfair debt collection practices ...
Schnader Harrison Segal & Lewis LLP
The FDCPA requires that a debt collector attempting to collect a debt notify a consumer that (1) "unless the consumer . . . disputes the validity of the debt . . . the debt will be assumed to be valid by the debt collector," and ...
Davis & Gilbert
Observing the rising tide of borrower delinquencies in subprime auto lending, I'm reminded of that famous outburst by the former NFL coach, Dennis Green.
Shearman & Sterling LLP
On June 21, 2018, following consultation on draft guidance in November 2017, the Financial Stability Board published two finalized guidance papers on aspects of the recovery and resolution ...
Shearman & Sterling LLP
On June 21, 2018, the U.S. Board of Governors of the Federal Reserve System announced the results of the eighth and latest round of Dodd-Frank Act stress testing.
Shearman & Sterling LLP
On July 12, 2018, the Financial Stability Board published a statement welcoming the consultation by the International Swaps and Derivatives Association on fallbacks ...
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") issued the results of its yearly Comprehensive Capital Analysis and Review ("CCAR"). CCAR is an assessment of the capital adequacy...
Shearman & Sterling LLP
On July 18, 2018, the Financial Stability Board was seeking feedback on an initial evaluation of the effects of the post-financial crisis regulatory reforms on infrastructure finance.
Shearman & Sterling LLP
On July 11, 2018, the FDIC announced updates to four of its interagency forms: (i) the Biographical and Financial Report (OMB Control Number 3064-0006); (ii) the Bank Merger Act Application ...
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