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Searching Content from United States indexed under Finance and Banking ordered by Published Date Descending.
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1
What's Going On With Securities Class Action And Derivative Litigation?
Fenwick securities enforcement co-chair Susan Muck talked about the latest in securities class action and derivative litigation at the 2019 PLUS D&O Symposium in New York.
United States
21 Feb 2019
2
FINRA Warns Members Of Fraudulent Phishing Emails
FINRA warned member firms of a phishing email from a purported anti-money laundering compliance officer working at an Indiana-based credit union.
United States
21 Feb 2019
3
Treasury Requires Reporting Of Repo Activity By CCPs
The U.S. Treasury Department Office of Financial Research adopted final rules establishing a data collection requiring the reporting of certain information about centrally cleared transactions in the U.S. repurchase agreement market to the OFR
United States
21 Feb 2019
4
CFPB Provides Semi-Annual Report To Congress
The Consumer Financial Protection Bureau ("CFPB") provided its semi-annual report to Congress.
United States
21 Feb 2019
5
New York Subjects State Licensees To Whistleblower Protections
Add the New York Department of Financial Services (the "DFS" or "Department") to the veritable orchestra of governmental entities and regulatory authorities that have issued requirements
United States
20 Feb 2019
6
Remote E-Notarization: Are New Jersey And Pennsylvania About To Join The Club?
Over the last several years, a number of states have authorized notaries to perform remote online notarizations by which a notary public may acknowledge the signature or the act of an individual...
United States
20 Feb 2019
7
An Unconventional Circular Letter: NYDFS Provides The Nation's First Directive On The Proper Use Of Unconventional And Alternative Data
Last month, the New York State Department of Financial Services became the first US regulator to impose specific, substantive requirements on the use of "unconventional sources or types of external data" in financial services.
United States
20 Feb 2019
8
First Circuit Rules That "Incorporation By Reference" Of Collateral Description In UCC Financing Statements May Not Perfect Lien
Tolstoy warned that "if you look for perfection, you'll never be content", but Tolstoy wasn't a bankruptcy lawyer.
United States
20 Feb 2019
9
How Subprime Auto Participants Can Avoid The Hell Of A Future Unseen
If you want to know the truth, no one can really predict the future of any market by themselves; everyone is limited by data and perceptions.
United States
20 Feb 2019
10
Techniques et produits financiers - Les intermédiaires en œuvres d'art à nouveau sanctionnés
Paris consultant Thierry Bonneau authored an article titeld "Les intermédiaires en œuvres d'art à nouveau sanctionnés," which appeared in the February 2019 issue of the French publication
United States
20 Feb 2019
11
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
United States
20 Feb 2019
12
Top 10 Issues In M&A For Securitization Sponsors And Servicers
Mergers and acquisition transactions for securitization sponsors and servicers present unique issues that require in depth knowledge of the underlying securitization structures and risks,
United States
20 Feb 2019
13
$3.5 Billion In 2018/2019 New Markets Tax Credits To Be Awarded In March 2019
In anticipation of the announcement of the $3.5 billion of New Markets Tax Credits (NMTC) allocation awards by the U.S. Department of the Treasury's Community Development Financial Institutions
United States
20 Feb 2019
14
Les prestataires de services sur actifs numériques de la loi PACTE
Paris partner Hubert de Vauplane authored an article titled "Les prestataires de services sur actifs numériques de la loi PACTE
United States
20 Feb 2019
15
Partner Douglas Landy Comments In Law360 Article On Regulatory Rollbacks Following Mega Bank Merger
Milbank Financial Institutions Regulatory partner Douglas Landy was quoted in a recent Law360 article titled "Reg Rollbacks Seen As Bit Player in $28B BB&T-SunTrust Deal" ...
United States
19 Feb 2019
16
PE Investment In Physician Practice Management ‒ What's To Come In 2019?
Private equity (PE) investors entered the physician practice management (PPM) market in 2011, and eight years later the PPM sector continues to be a ripe middle market for PE investors looking to diversify their portfolios.
United States
19 Feb 2019
17
FINRA Extends Effective Date Of Margin Requirements For Covered Agency Transactions
FINRA extended the effective date of the margin requirements for Covered Agency Transactions, including "to-be-announced" ("TBA") transactions and other forward-settling agency securities transactions
United States
19 Feb 2019
18
OCC Proposes Amending Company-Run Stress Testing Requirements
The Office of the Comptroller of the Currency ("OCC") proposed amending the OCC's company-run stress testing requirements for national banks and federal savings associations.
United States
19 Feb 2019
19
CFTC Compliance Divisions Publish Examination Priorities
The CFTC's Division of Market Oversight, Division of Swap Dealer & Intermediary Oversight, and Division of Clearing & Risk published examination priorities.
United States
19 Feb 2019
20
ISDA Publishes Legal Guidelines For Smart Derivatives Contracts
The paper provides guidance on bringing the benefits of distributed ledger technology to the ISDA documentation architecture.
United States
19 Feb 2019
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