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1
European Commission To Publish CMU Midterm Review On June 7, 2017
On May 18, 2017, Ugo Bassi, Director of Financial Markets, European Commission DG FISMA, confirmed that the Commission will publish its midterm review of the capital markets union on June 7, 2017.
European Union
26 May 2017
2
FINRA CEO Robert Cook Pushes For Organizational Change
FINRA President and CEO Robert Cook emphasized the need for FINRA to adapt and make progressive changes in response to an evolving financial industry.
United States
26 May 2017
3
MFA Outlines Regulatory Priorities
The Managed Funds Association ("MFA") summarized its regulatory priorities and advocated an approach that "protects investors, enhances regulatory coordination, promotes market transparency and increases market fairness and efficiency."
United States
26 May 2017
4
Understanding Special Liens: Q&A With John Keough Of Clyde & Co
In this interview, Brown Brothers Harriman Sr. Vice President of Corporate Banking, Lewis Hart, speaks with John Keough, a Partner at Clyde & Co, to review how special liens can work...
United States
26 May 2017
5
CFTC Amends Whistleblower Rules To Strengthen Anti-Retaliation Protections And Encourage Whistleblower Tips
The CFTC first proposed some form of these amendments to its Whistleblower Rules last year.
United States
26 May 2017
6
SEC Names New Chief Of Staff, Other Senior Officials
Before joining the Senate Banking Committee, Moskowitz served as a counsel on the Financial Services Committee of the House of Representatives, where he worked on legislative...
United States
26 May 2017
8
The Financial CHOICE Act Is Approved By US House Financial Services Committee
This alert examines the key provisions of the Financial CHOICE Act, which, if passed, would significantly alter the Dodd-Frank Act, repealing many post-financial crisis rules and regulations.
United States
25 May 2017
9
IRS Audits Target Management Fee Waivers
IRS audits are increasingly targeting private investment funds over management fee waiver arrangements that are commonly used by investment managers to convert fee income into carried interest.
United States
25 May 2017
10
Podcast - Shrink The Section 457A Tax On Hedge Fund Management And Incentive Fees And Expand Your Impact
In a recently released Ropes & Gray podcast, asset management partner Isabel Dische, tax partner Brett Robbins, and private client partner Cameron Casey discuss the effect of Section 457A ...
United States
25 May 2017
11
SEC Underscores Cybersecurity Risks And Mitigation Requirements
In the wake of the global impact from the spread of the WannaCry ransomware, the Securities and Exchange Commission has alerted public companies and the financial sector regarding heightened cybersecurity...
United States
25 May 2017
12
FDIC Action Is A Reminder That Bank Partnerships Are Not A Panacea For Non-Banks
The FDIC released orders for restitution and to pay civil money penalties (Orders), but did not release the consent agreements executed by the Bank, FSI or MCS with the stipulated facts and findings.
United States
25 May 2017
13
FINRA Updates Crowdfunding Bulletin
FINRA issued an updated Investor Alert on crowdfunding rules and processes (see previous coverage).
United States
25 May 2017
14
FINRA Proposes Offering "End-Of-Day TRACE" Report
FINRA proposed amending FINRA Rule 7730 ("Trade Reporting and Compliance Engine") ("TRACE") to begin offering an "End-of-Day TRACE Transaction File," which would allow market participants...
United States
25 May 2017
15
CFTC Increases Anti-Retaliation Protections for Whistleblowers
On May 22, 2017, the Commodity Futures Trading Commission (CFTC or Commission) amended its whistleblower rules to enhance protections for whistleblowers against retaliation and assert its own authority...
United States
25 May 2017
16
Are the Federal Courts or the Republican Controlled Congress the Greater Threat to the CFPB?
Many banking lawyers believe recent actions by federal courts, and by Congress represent the greatest threat to the Consumer Financial Protection Bureau (CFPB) since its existence.
United States
25 May 2017
17
New York & Colorado Propose "New" Cybersecurity Regulations for Broker-Dealers
In the wake of the promulgation of new cybersecurity regulations by New York State's Department of Financial Services, Colorado has proposed cybersecurity regulations for broker-dealers, investment advisers and other fund managers in the ever-changing privacy landscape.
United States
25 May 2017
18
PHH, CFPB, and DOJ Tangle over Constitutionality of the Bureau
The long awaited en banc oral argument in the PHH v. CFPB appeal was heard this morning. Based upon the questions asked by the judges, and with the caveat that such questioning is not always an indicator of how a court will rule, it seems likely that the D.C. Circuit will not find the CFPB to be unconstitutionally structured.
United States
25 May 2017
19
DOL's Fiduciary Rule To Apply June 9th, Investment Managers And Advisers May Want To Take Action Now
The U.S. Department of Labor's (DOL) final rule significantly expanding when a person is considered to be a fiduciary under the Employee Retirement Income Security Act of 1974 (ERISA)...
United States
24 May 2017
20
Section 36(b) Plaintiffs' ‘Retained Fee' Theory Rejected In Kasilag Verdict For Defendants
Echoing last year's opinion in Sivolella, finding no liability for allegedly excessive fees charged by Axa advisers to mutual fund investors, the District of New Jersey again ruled in favor of...
United States
24 May 2017
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