Mondaq USA: Finance and Banking > Financial Services
Duff and Phelps
To create long-term viable businesses, investment firms must provide products that serve clients' needs.
Carlton Fields
On April 18, the SEC voted four to one to propose new standards of conduct for broker-dealers (BDs) and investment advisers (IAs).
Shearman & Sterling LLP
On April 12, 2018, the U.S. Department of the Treasury announced that John E. Smith will be stepping down as director of the U.S. Office of Foreign Assets Control in early May 2018.
Shearman & Sterling LLP
On April 9, 2018, the FCA published a discussion paper on its proposed approach to using ex post impact evaluation to assess the impact of its work on consumers, firms and markets.
Shearman & Sterling LLP
On April 10, 2018, the Committee on Payments and Market Infrastructures and the International Organization of Securities Commissions published a Framework ...
Shearman & Sterling LLP
On April 11, 2018, the U.S. Board of Governors of the Federal Reserve System and U.S. Office of the Comptroller of the Currency published a joint notice of proposed rulemaking ...
Shearman & Sterling LLP
On April 11, 2018, the U.S. Board of Governors of the Federal Reserve System and U.S. Office of the Comptroller of the Currency published a joint notice of proposed rulemaking and request for comment ...
Shearman & Sterling LLP
On April 10, 2018, the Federal Reserve published a notice of proposed rulemaking and request for comment intended to integrate its capital and stress rules and thereby simplify the capital regime ...
Seyfarth Shaw LLP
As you likely know by now, in July 2017 the U.K.'s Financial Conduct Authority announced that LIBOR will be phased out by 2021.
McDermott Will & Emery
One of the most significant developments in FCA litigation in recent years was the Supreme Court's unanimous 2016 ruling in Universal Health Services, Inc. v. United States ex rel. Escobar ...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, and effective dates.
Reed Smith
Recently, I came across an article written by Senator Elizabeth Warren entitled "Don't Make Bad Bill on Bank Deregulation Worse."
Troutman Sanders LLP
In a 51-47 vote on April 18, the U.S. Senate voted in favor of invalidating 2013 guidance from the Consumer Financial Protection Bureau that targeted purported discrimination in the automobile finance market.
Stroock & Stroock & Lavan LLP
Last week, the Securities Industry and Financial Markets Association ("SIFMA"), a trade group for the United States securities industry, issued a set of Data Aggregation Principles ("the Principles").
Morgan Lewis
Private foundations may now own philanthropic businesses whose profits are dedicated to charity without the prohibitive excess business holdings tax.
Shearman & Sterling LLP
Partners Joshua Thompson (New York-Finance) and Caroline Leeds Ruby (London-Finance) co-authored a chapter in The International Comparative Legal Guide to Lending & Secured Finance, published by Global Legal Group.
Cadwalader, Wickersham & Taft LLP
Federal Reserve Bank of New York Executive Vice President and General Counsel Michael Held shared his concerns about "excessive formalism" and rigid reliance on the standard risk management model.
Cadwalader, Wickersham & Taft LLP
Mr. Quarles applauded recent efforts by the Basel Committee on Banking Supervision in regard to its international standard setting.
BakerHostetler
Earlier this month, the CFPB issued its semiannual report to the President and Congress. In the Report, Acting CFPB Director Mick Mulvaney proposes to significantly reform the CFPB's structure and oversight.
Duff and Phelps
The regulatory burden increases inexorably but promises of regulatory harmonization never seem to deliver.
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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 ...
Arnold & Porter
On March 14, the US Senate passed S. 2155, the Economic Growth, Regulatory Relief, and Consumer Protection Act (Economic Growth Act), on a 67-31 vote.
Foley & Lardner
Following Borders & Borders PLC's (Borders) successful summary judgment motion last summer, the Consumer Financial Protection Bureau (CFPB or Bureau) filed a motion for reconsideration...
Troutman Sanders LLP
The United States Court of Appeals for the Seventh Circuit recently affirmed a lower court decision finding that a debt collector's verification and investigation of a consumer's disputes ...
Troutman Sanders LLP
As we previously reported, Mick Mulvaney, acting interim director of the CFPB, announced a change to the CFPB's governing philosophy to focus on quantitative analysis to guide the Bureau's future regulatory and enforcement actions.
GuernseyFinance
Guernsey's thriving insurance sector is right on point with the theme of this year's British Insurance Brokers' Association annual conference and exhibition.
Arnold & Porter
On March 14, the U.S. Senate passed S. 2155, the Economic Growth, Regulatory Relief, and Consumer Protection Act, on a 67-31 vote.
Troutman Sanders LLP
In Taylor, both Plaintiffs incurred debts with a bank, which after default were placed with Financial Recovery Services ("FRS") for collection.
Mayer Brown
If enacted, the bill would impose material conditions on the eligibility of non-cash-out refinancings for government guaranty under the Veterans Affairs Loan Guaranty Program.
Cadwalader, Wickersham & Taft LLP
The "FATF Public Statement," which was published on November 3, 2017, identifies jurisdictions that are subject to its call for countermeasures or are subject to enhanced due diligence due to their strategic AML/CFT deficiencies.
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