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1
Collection Of Investment Advisers And Funds Topic Pages Available On The Cabinet
The Cabinet offers a collection of pages on regulatory requirements applicable to investment advisers and investment funds. The pages cover a wide range of advisers
United States
26 Aug 2019
2
OFAC Sanctions China-Based Drug Trafficking Organization
OFAC designated the China-based Zheng Drug Trafficking Organization ("Zheng DTO") and Chinese nationals Zheng Fujing and Yan Xiaobing
Worldwide
26 Aug 2019
3
SEC Provides Proxy Voting Guidance, Clarifies Obligations of Advisers
In a three-to-two vote, the SEC approved (i) guidance on an investment adviser's responsibilities in proxy voting and in vetting any advice that the adviser may itself receive from a proxy advisor
United States
26 Aug 2019
4
Pharmaceutical Company Settles SEC Charges For Selective Disclosure Of Nonpublic Information
A pharmaceutical company agreed to settle SEC charges of selectively disclosing material, nonpublic information to sell-side research analysts.
United States
23 Aug 2019
5
FDIC Proposes Amending Interest Rate Restrictions For Less Than "Well Capitalized" Institutions
The FDIC proposed amending the interest rate restrictions for insured depository institutions ("IDIs") that are less than "well capitalized" (i.e., any IDI that does not significantly exceed
United States
23 Aug 2019
6
SIFMA Recommends Updates To MSRB Rules On Ethical Standards
In response to an MSRB retrospective rule review, SIFMA recommended clearing up ambiguities within existing regulations concerning ethical standards for financial advisors.
United States
23 Aug 2019
7
OCC and FDIC Approve Interagency Final Rule Amending Volcker Rule
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
United States
23 Aug 2019
8
Volcker Rule Topic Page Now Available On The Cabinet (Video)
The Volcker Rule Topic Page helps financial institutions keep current on legal and regulatory issues concerning the Volcker Rule
United States
23 Aug 2019
9
FINRA Recaps Monthly Disciplinary Actions - August 2019
In its August disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities
United States
23 Aug 2019
10
SEC Grants Exemptive Relief To ETF From Tender Offer Rules
The SEC Division of Corporation Finance Office of Mergers and Acquisitions granted no-action relief to an exchange-traded fund ("ETF") from requirements under SEA Rule 14e-5
United States
23 Aug 2019
11
OFAC Sanctions Dominican Republic-Based Drug Trafficking Organization
OFAC designated a Dominican Republic-based Peralta Drug Trafficking Organization ("Peralta DTO") and its drug kingpin, identifying the entities as "significant foreign narcotics trafficker[s]"
United States
23 Aug 2019
13
FINRA Elects Four New Governors
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
United States
22 Aug 2019
14
Regulators Emphasize Importance Of Capital Investment
In a separate address at the Forum, Ms. Miller stressed the importance to the economy of capital formation and investment in new companies.
United States
22 Aug 2019
15
CFPB Proposes Settlement In Connection With High-Interest Credit Offers
The CFPB and the State of Arkansas proposed a settlement in the United States District Court, Eastern District of Arkansas, against brokers for violations of the Consumer Financial
United States
22 Aug 2019
16
Broker-Dealers Settle Charges For Misuse Of Pre-Released ADRs
Two broker-dealers settled separate SEC charges (see here and here) for improperly obtaining the pre-release of American Depositary Receipts ("ADRs") that the firms should
United States
22 Aug 2019
17
Trade Credit Insurer Settles OFAC Charges For Violating Foreign Narcotics Kingpin Sanctions
According to OFAC, Atradius Trade Credit Insurance ("ATCI") dealt in property or interests of Grupo Wisa, S.A. ("Grupo Wisa"), a designated ("SDN") narcotics trafficker and former
United States
22 Aug 2019
18
NYDFS Grants Charter For Trust Company To Custody Bitcoin
The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.
United States
22 Aug 2019
19
FINRA Reminds Firms Of Potential Municipal Advisor Registration Obligations
In newly issued guidance, FINRA reminded firms doing business with municipalities to implement appropriate supervisory procedures to avoid conducting unregistered municipal advisory activities.
United States
21 Aug 2019
20
CFTC Staff Permits Financial Institution Subsidiary To Act As Swaps Reporting Counterparty
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.
United States
20 Aug 2019
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