Mondaq USA: Finance and Banking
Ostrow Reisin Berk & Abrams
Recent market gyrations have made even strong-stomached investors a little queasy. In general, maintaining your positions in a well-diversified portf
Mintz
Seth Goldman explains how derivative action litigation can be an effective strategy for minority shareholders and discusses the favorable settlement Mintz achieved on behalf of client FragranceNet.com using this approach.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
Cadwalader, Wickersham & Taft LLP
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. Pursuant to the settlement, the CFTC agreed not to make "any public statement about this case."
Cadwalader, Wickersham & Taft LLP
Regulatory change increases overhead expense for financial institutions. The Cabinet "Alerts" tool allows firms and individuals to track regulatory
Cadwalader, Wickersham & Taft LLP
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
Kramer Levin Naftalis & Frankel LLP
Public Alternative Funds Archive - August 15, 2019
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
Kramer Levin Naftalis & Frankel LLP
Analysts say the trend toward alternative is largely the result of relatively lower expectations for Wall Street investments, stocks and bonds.
Cahill Gordon & Reindel LLP
Recent litigation involving the telecommunications company Windstream Services, LLC and Aurelius Capital Master, Ltd. has heightened market focus on noteholders that, through derivatives, take an economic interest ...
Cahill Gordon & Reindel LLP
FINRA Supplements Prior Guidance on Credit for Extraordinary Cooperation.
Dentons
What is one critical factor that will make or break a start-up? Entrepreneurs will have an unequivocal answer to this question: Funding. Rounds and rounds of funding
BakerHostetler
On May 2, 2019, Judge Colleen McMahon of the Southern District of New York ruled that the government effectively outsourced a portion of its ongoing investigation of LIBOR manipulation at
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges for failing to ensure that certain equity traders had passed appropriate FINRA qualification examinations
Cadwalader, Wickersham & Taft LLP
In a FINRA disciplinary proceeding, the Department of Enforcement alleged that two former general securities representatives failed to report private securities transactions and outside business activities ("OBAs").
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On July 31, 2019, Judge George H. Wu of the U.S. District Court for the Central District of California released tentative findings of fact and conclusions of law
Cleary Gottlieb Steen & Hamilton LLP
On June 21, 2019, the SEC adopted final rules that set forth: (1) capital and margin requirements for security‑based swap dealers and major SBS participants for which there is not a Prudential Regulator; ...
Kramer Levin Naftalis & Frankel LLP
In a continuing effort to address the advent of narrowly tailored credit events (NTCEs) in the CDS market, ISDA is now preparing for the implementation of the changes designed to deter market participants from running these strategies.
Morrison & Foerster LLP
On August 8, 2019, Fannie Mae and Freddie Mac (GSEs) announced that the revised uniform residential loan application
Cadwalader, Wickersham & Taft LLP
Several trade associations provided feedback on key areas of central counterparty ("CCP") default management auctions.
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Arnold & Porter
This article describes current trends and developments during 2018 in the sovereign bond financing market.
Shearman & Sterling LLP
On 29 March 2019, ESMA updated its Q&A documents in relation to the implementation of the Market Abuse Regulation (MAR) and the Alternative Investment Fund Manager Directive (AIFMD).
Mayer Brown
Last month, the United States Department of Justice ("DOJ" or the "Department") settled redlining claims against First Merchants Bank, an Indiana-based bank regulated by the Federal Deposit Insurance Corporation.
Withers LLP
The modern notion of a family office charged with the stewardship of a single family's wealth for current and future generations emerged in the 19th century. The
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
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.
DLA Piper
This regular publication from DLA Piper focuses on helping banking and financial services clients navigate the ever-changing federal regulatory landscape.
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