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Searching Content from United States indexed under Finance and Banking ordered by Published Date Descending.
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1
EU PRIIPs Regulation – Relevance To Fund Managers Explained
On 1 January 2018, European Union (EU) Regulation (No 1286/2014)[1] on key information documents for packaged retail and insurance-based investment products (PRIIPs) comes into force.
European Union
20 Nov 2017
2
CFPB Enforcement Manual Publicly Available
The Consumer Financial Protection Bureau (CFPB) recently posted its Enforcement Policy and Procedures Manual (Manual) on its FOIA reading room website.
United States
20 Nov 2017
3
CFTC Chair Giancarlo Urges SEF Reform And Improved Stress Testing Of CCPs
CFTC Chair J. Christopher Giancarlo encouraged (i) reforming the rules recently adopted for regulating swap execution facilities ("SEFs") and (ii) engaging in collaborative efforts with other regulators...
United States
20 Nov 2017
4
U.S. Corporate Law News: CFTC Extends Swap Dealer De Minimis Threshold Until December 31, 2019
On October 26, 2017, the Commodity Futures Trading Commission issued an order extending until December 31...
United States
20 Nov 2017
5
ESMA Warns Investors And Firms On Dangers Of ICOs
ESMA has become the latest body to denounce initial coin offerings (ICOs), issuing statements directed at investors and firms highlighting the distinct risks involved.
European Union
17 Nov 2017
6
Senate Tax Bill Maintains Private Activity Bonds While Terminating Advanced Refundings
Introduced on November 9, 2017, the Senate Tax Bill would maintain private activity bonds ("PABs").
United States
17 Nov 2017
7
Extension Of Fiduciary Rule Transition Period Likely Official End Of November
On November 1, the White House Office of Management and Budget (OMB) received a much-anticipated notice from the US Department of Labor (DOL) named "18-Month Extension of Transition Period...
United States
17 Nov 2017
8
CFPB Director Richard Cordray To Step Down
In an email to staff, Consumer Financial Protection Bureau (CFPB) Director Richard Cordray announced on Wednesday, November 15, that he will be stepping down this month.
United States
17 Nov 2017
9
Department Of The Treasury Issues Report Recommending U.S. Capital Markets Regulatory Reforms
The U.S. Department of the Treasury has issued a report to the President recommending extensive regulatory and legislative reforms to the U.S. capital markets.
United States
16 Nov 2017
10
Private Equity And Other Carried Interest Funds – Federal Tax Policy Tip Sheet: Issue 3
The House Ways and Means Committee completed its marathon "markup" of the tax-reform bill this week, paving the way for a floor vote on the measure as soon as next week.
United States
16 Nov 2017
11
OCC's Call For Study Of Separation Of Banking And Commerce: Revisited Topic With A New Twist
According to Acting Comptroller of the Currency Ken Noreika, the time is right to reconsider the U.S. policy of limiting the ability of banking and commercial businesses to mix together.
United States
16 Nov 2017
12
Cordray Announces November Departure From CFPB
Richard Cordray today announced his departure from the position of Director of the Consumer Financial Protection Bureau by the end of November 2017, well in advance of the natural expiration of his term in July 2018.
United States
16 Nov 2017
13
Illinois General Assembly Overrides Veto Of Illinois Student Loan Servicing Rights Act
With both houses of the Illinois General Assembly overriding the veto of Governor Bruce Rauner, the Illinois Student Loan Servicing Rights Act will become law.
United States
16 Nov 2017
14
Capita Faces Public Censure And £66m Pay-Out
FCA has issued a final notice against Capita Financial Managers Limited (CFM), publicly censuring the firm and ordering it to pay up to £66m in compensation to investors...
United States
16 Nov 2017
15
ESMA Updates MiFID 2 FAQs
ESMA has updated its set of FAQs on MiFID 2 investor protection. New questions cover...
European Union
15 Nov 2017
16
FCA Publishes MiFID 2 Guide And Updates IFPRU
At FCA's latest board meeting, it made a new guide, the MiFID 2 Guide (to be known as M2G). The Guide takes the form of regulatory guidance under FSMA.
European Union
15 Nov 2017
17
Banking Regulators Propose New Call Report Revisions
The FDIC, the Board of Governors of the Federal Reserve System and the Office of the Comptroller of the Currency proposed revisions to the Consolidated Reports of Condition and Income.
United States
15 Nov 2017
18
LabCFTC Was Built To Promote FinTech, Says CFTC Chief Innovation Officer
CFTC Chief Innovation Officer and Director of LabCFTC Daniel Gorfine asserted that the LabCFTC initiative was intended to "make the CFTC more accessible to FinTech innovators" and to "inform the [CFTC]'s...
United States
15 Nov 2017
19
Final Rule Issued On Qualified Financial Contracts: What You Need To Know
On September 1 2017 the Board of Governors of the Federal Reserve System adopted a final rule requiring US global systemically important banking institutions (GSIBs), their subsidiaries...
United States
15 Nov 2017
20
Select Committee Calls For Post-Brexit Transactional Deal
The Lords' EU Financial Affairs Sub-Committee has written to the Chancellor calling for an urgent agreement on a post-Brexit "standstill" transition point for the financial services sector.
United States
15 Nov 2017
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