Mondaq USA: Finance and Banking > Financial Services
Mayer Brown
On November 30, 2018, the SEC adopted a new rule establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports regarding qualifying investment funds.
Ostrow Reisin Berk & Abrams
The IRS released temporary guidance about the new interest expense limitation in April. Now, proposed regulations have been published that significantly expand on the temporary guidance.
Cadwalader, Wickersham & Taft LLP
The CFTC Market Risk Advisory Committee debated clearinghouse and vendor risk management issues in the Committee's third and last meeting of 2018.
Cadwalader, Wickersham & Taft LLP
Mr. Quintenz explained that the growth of China's futures markets has been critical to its economic rise.
Cadwalader, Wickersham & Taft LLP
Treasury Official Describes Evolving AML/CFT Framework.
Troutman Sanders LLP
The tenancy may be terminated by giving a written notice to vacate three days prior to the effective termination date.
Mayer Brown
Just one year ago, as you were contemplating what to do with your leftover Thanksgiving turkey, a storm was brewing at the agency formerly known as the Consumer Financial Protection Bureau.
Carlton Fields
Reverse Mortgage / Statute of Limitations: as a matter of first impression, statute of limitations for enforcing reverse mortgage begins on date the note matures, notwithstanding earlier-death of borrower...
Carlton Fields
Derivative v. Direct Action / Standing: individual member of LLC not entitled to sue title company for breach of fiduciary duty because right to sue belonged to LLC
Cadwalader, Wickersham & Taft LLP
IOSCO found that members have made "substantial progress" towards achieving full compliance, and, in certain instances, have improved their implementation of the Principles for the Regulation and Supervision of Commodity Derivatives Markets (the "Principles").
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo reviewed the findings of a recent study by the Office of the Chief Economist of the CFTC on the relative liquidity of exchange-traded futures contracts and cash securities in the U.S. Treasury market.
Cadwalader, Wickersham & Taft LLP
Federal banking agencies urged banks to pursue innovative approaches to meeting Bank Secrecy Act/Anti-Money Laundering ("BSA/AML") compliance obligations.
Cadwalader, Wickersham & Taft LLP
The U.S. District Court for the Southern District of New York determined that the CFTC failed to prove that a Chicago trader and his firm had either manipulated or attempted to manipulate the price of certain interest rate swaps.
McLane Middleton, Professional Association
Buried in the 2017 tax bill is a tax deferral and basis boosting provision aimed at luring investors to fund real estate development projects and new businesses in distressed, low-income communities.
Davis & Gilbert
No one had suffered any losses, or at least it seemed no one could remember having done so
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") provided guidance on the annual affirmation requirement for entities that are currently exempt from commodity pool operator ("CPO")...
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") reported on risks facing national banks and federal savings associations, presenting information in five areas: the operating environment...
Shearman & Sterling LLP
On November 19, 2018, a final joint report on the incentives to clear OTC derivatives was published by the Financial Stability Board, the International Organization of Securities Commissions ...
Troutman Sanders LLP
On November 1, the Northern District of California announced new Procedural Guidance for Class Action Settlements, aimed at increasing transparency in class settlements and the disbursement ...
Troutman Sanders LLP
On November 14, the Bureau of Consumer Financial Protection filed an amicus brief with the United States Supreme Court ...
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Mayer Brown
California enacts a first-of-its-kind legislation imposing disclosure requirements on commercial purpose loans similar ...
Troutman Sanders LLP
Non-bank lenders to small businesses need to be on alert after Governor Brown signed California Senate Bill 1235 into law on September 30, 2018.
Troutman Sanders LLP
Earlier this week, InsideArm identified a subtle change to the Massachusetts Attorney General's website that may reflect an unannounced change in the regulations governing third-party collection agencies in Massachusetts.
Arnold & Porter
The 2018 election was a wave election, but it was a smaller wave than Democrats had been hoping for in the summer of 2018.
Troutman Sanders LLP
The implementation period for changes in lease accounting standards under United States generally accepted accounting principles ("GAAP") ...
Dentons
US and non-US persons risk monetary fines and secondary sanctions, as well as negative commercial and reputational consequences, if they engage in prohibited transactions involving Iran.
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
Following historical trends, the first mid-term Congressional election in the Trump Administration has concluded with a new Democratic majority in the House of Representatives.
Cadwalader, Wickersham & Taft LLP
FDIC Chair Jelena McWilliams urged regulators and industry innovators to work together to "increase the velocity of transformation" to ensure that "banks are safe and sound and consumers sufficiently
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