Mondaq USA: Finance and Banking > Financial Services
Maples Group
A recent SEC action against a US investment advisor for manipulating an auction of commercial real estate assets on behalf of one client at the expense of another highlights
Cadwalader, Wickersham & Taft LLP
The Congressional Research Service ("CRS") reviewed recent proposals by the Federal Reserve Board ("FRB")
Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia encouraged regulators and policymakers to reduce certain "burdensome" requirements that will be enacted on the forthcoming implementation of initial margin ("IM") "Phase Five."
Cadwalader, Wickersham & Taft LLP
The FTC charged a company and its officer with using customer funds raised through crowdfunding on personal expenses and marketing, rather than the development of several promised products.
Cadwalader, Wickersham & Taft LLP
Many have believed that the national bank "fintech charter" is an ideal solution to providing marketplace consumer loans on a 50-state basis.
Mayer Brown
On April 29, 2019, Acting Superintendent of the New York Department of Financial Services Linda A. Lacewell announced the appointment of Kathrine A. Lemire to serve as Executive Deputy Superintendent...
Cadwalader, Wickersham & Taft LLP
The CFPB requested comment on a proposal to increase the reporting data threshold for closed-end mortgage loans and open-end lines of credit under the Home Mortgage Disclosure Act ("HMDA") rules.
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board proposed expanding the number of financial institutions that fall under the "netting" provisions of the Federal Deposit Insurance Corporation Improvement Act of 1991
Cadwalader, Wickersham & Taft LLP
Financial Conduct Authority ("FCA") Executive Director for Strategy and Competition Christopher Woolard highlighted FCA efforts to promote innovation in the financial services industry.
Morrison & Foerster LLP
On May 2, 2019, the CFPB issued two releases related to Regulation C, which implements the Home Mortgage Disclosure Act (HMDA).
Mayer Brown
Following the inaugural sovereign blue bond1 issuance by the Republic of Seychelles last October, there have been two recent blue bond announcements.
Cadwalader, Wickersham & Taft LLP
FINRA provided guidance to member firms on reporting and monitoring suspicious activity pursuant to FINRA Rule 3310 ("Anti-Money Laundering Compliance Program").
Hill, Barth & King LLC
A provision of the Tax Cuts and Jobs Act (TCJA) of 2018 allows investors to defer taxes on capital gains by investing them in properties and businesses in Qualified Opportunity Zones (QOZs).
Hill, Barth & King LLC
Of the many changes that came from the Tax Cuts and Jobs Act, Qualified Opportunity Zones have been one of the most talked about provisions as the 2018 tax season progresses.
BKD, LLP
As private companies and not-for-profits seek to successfully implement the new lease standard, public company adopters recommend not underestimating the time and resources needed.
Hill, Barth & King LLC
The Pennsylvania Department of Revenue (DOR) has issued tax bulletins that impact the way hedging transactions and those associate with certain intangible income are taxed.
Hill, Barth & King LLC
On April 17, 2019 the U.S. Treasury released its newest and most highly anticipated proposed Regulations covering Opportunity Zones.
Jones Day
The Respondent in the case, Gilbert Hyatt, was a California resident who moved to Nevada.
Jones Day
The Resolution Stay Regulations require GSIBs to amend or otherwise remediate a wide range of financial contracts and are reaching into potentially unexpected corners of the markets.
Eisner Amper
With Brexit looming, U.S. asset managers should be preparing themselves for an overhaul in the way U.K. and E.U. regulation and legislation affects their future.
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Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code ง199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Holland & Knight
The U.S. Court of Appeals for the First Circuit has affirmed a controversial ruling regarding the treatment of municipal revenue debt.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the registered fund/investment ...
Cahill Gordon & Reindel LLP
How Banks and Regulators are Already Re-shaping GDPR Requirements – Seven Lessons for You.
Duane Morris LLP
On April 17, 2019, the Department of Treasury released a second set of proposed regulations for the Opportunity Zone legislation (the first set of regulations was released in October 2018),
Ostrow Reisin Berk & Abrams
According to the Wall Street Journal, cash was the best performing asset class in 2018. However, many investors shy away from cash investments, such as Treasury bills, money market funds and savings accounts.
Davis & Gilbert
Take care of your business at home, before searching for greener pastures. It's a key takeaway from Part One of our interview regarding subprime auto.
Duff and Phelps
Buyers continue to have very specific criteria as they evaluate acquisition targets.
Lewis Roca Rothgerber Christie LLP
There are a myriad of reasons why registered representatives and investment advisor representatives elect to change firms. These include product offerings, technology platforms,
Mayer Brown
A consortium of 12 insurance underwriters led by Liberty GTS recently paid a €50 million claim under a W&I liability insurance policy issued in connection with FSN Capital's acquisition of Gram Equipment.
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