Mondaq USA: Finance and Banking > Financial Services
Proskauer Rose LLP
The Financial Conduct Authority ("FCA") updated its webpage relating to its guidance consultation on the fair treatment of vulnerable customers.
Debevoise & Plimpton
2021 will mark a step change in the way the European Union regulates environmental, social and governance issues (ESG) in the financial services industry.
Cadwalader, Wickersham & Taft LLP
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia highlighted potential issues affecting derivatives trading obligations following Brexit.
Akin Gump Strauss Hauer & Feld LLP
While the Securities and Exchange Commission (SEC) brought several enforcement actions in 2018-19, the most significant new developments were published interpretations and alerts.
Mayer Brown
Bylined article by Banking & Finance counsel Joanna Nicholas (New York).
WilmerHale
On Friday, the Securities and Exchange Commission's Division of Corporation Finance announced big changes in the internal structure of its disclosure program.
Jones Day
The common thread that seems to explain the Second Circuit's divergent decisions in Brent Crude and Choi is the location of the alleged misconduct.
Steptoe & Johnson LLP
Multinational companies may suffer severe reputational and legal risks if third parties with whom they deal become embroiled in corruption scandals. To address this situation, the author describes...
Reinhart Boerner Van Deuren s.c.
Reinhart attorneys John Reichert and Melissa Lanska authored an article for Bank Director magazine detailing some "Sticking Points in Recent Community Bank Deals."
Squire Patton Boggs LLP
On September 9, the Polish Data Protection Supervisory Authority (UODO) issued its response to the letter of the President of the Polish Bank Association
Squire Patton Boggs LLP
Taxable debt tempts us to put the Internal Revenue Code back on the library shelf and the tax lawyers back into their pen.
Mayer Brown
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
Milbank LLP
Milbank LLP announced today that partners Deborah Conrad and Michael Duff have been named the new Managing Partners of the firm's Los Angeles office.
Kramer Levin Naftalis & Frankel LLP
Traders of credit default swaps (CDS) are being asked to sign up to amended rules underpinning their contracts from September 16
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to implement an adequate supervisory system to address short positions in tax-exempt municipal bonds.
Cadwalader, Wickersham & Taft LLP
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
Cadwalader, Wickersham & Taft LLP
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
Cadwalader, Wickersham & Taft LLP
In its annual Bank Supervision Operating Plan, the Office of the Comptroller of the Currency ("OCC") listed several key areas of focus for FY 2020.
Cadwalader, Wickersham & Taft LLP
At the CFTC Technology Advisory Committee ("TAC") meeting, CFTC Commissioner and Committee Chair Brian Quintenz
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Pasich LLP
As lawyers, it seems like hardly a day goes by without receiving a suspicious email.
Proskauer Rose LLP
The trend of direct lenders providing preferred equity financing to support sponsors and operating companies has only accelerated in the two years since we first wrote on the topic (available here).
Gibson, Dunn & Crutcher
The False Claims Act (FCA) is well-known as one of the most powerful tools in the government's arsenal to combat fraud, waste and abuse anywhere government funds are implicated.
Shearman & Sterling LLP
Čibuk 1, a 158 MW onshore windfarm (the Project), is being developed by Vetroelektrane Balkana, or Wind Energy Balkan Group (WEBG), in Dolovo, the Republic of Serbia
BakerHostetler
A U.K.-based credit score and reporting company has partnered with Ocyan to launch RomanAgora, a blockchain-based marketplace used for verifying credit applications
Milbank LLP
Milbank LLP advised the initial purchasers and deal managers in connection with two issuances and two tender offers by Banco de Crédito del Peru
McDermott Will & Emery
First introduced in 2013, the SAFE Banking Act passed the House 321-103 yesterday. This bill provides safe harbor to banks and financial institutions...
Moritt, Hock & Hamroff LLP
It goes without saying that most businesses are dependent on outside financing. However, when it comes to states where marijuana is legal, it's still a federal crime to finance the companies involved
Seyfarth Shaw LLP
Yesterday, the House of Representatives passed H.R. 1595, the Secure and Fair Enforcement Banking Act (SAFE Act)
Shearman & Sterling LLP
Partner Nathan Greene and associate Justin Reda (both New York-Investment Funds) have published a two-part article titled "Financial Services Regulation for Fintech Companies"
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