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Searching Content indexed under Finance and Banking by Arnold & Porter ordered by Published Date Descending.
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1
Criminal And Regulatory Enforcement Of Market Manipulation Spike
Despite several key setbacks in recent years, spoofing remains an enforcement priority for the Department of Justice (DOJ), Securities and Exchange
United States
20 Aug 2019
2
The UK Financial Conduct Authority Issues Final Guidance On Cryptoassets
On 31 July 2019 the UK Financial Conduct Authority (FCA) issued its final guidance on cryptoassets (the Guidance) following its consultation on draft guidance earlier in the year.
UK
15 Aug 2019
3
Joint Statement On Risk-Focused BSA/AML Supervision Highlights The Importance Of Risk Assessments And Independent Testing
That is, examiners do not adopt a one-size-fits-all approach to conducting BSA/AML examinations.
United States
25 Jul 2019
4
Market Trends 2018/19: Sovereign Bonds
This article describes current trends and developments during 2018 in the sovereign bond financing market.
United States
19 Jul 2019
5
Arnold & Porter Discusses Federal Reserve Developments On Confidential Supervisory Information
The Board of Governors of the Federal Reserve System (FRB) issued two notable documents over the past two weeks involving confidential supervisory information (CSI):
United States
3 Jul 2019
6
The SEC's "Regulation Best Interest," Form CRS, And Investment Adviser Interpretations: Does The New Framework Actually Protect The Best Interest Of Customers And Clients?
On June 5, 2019, the US Securities and Exchange Commission approved the following new rules and interpretations aimed at clarifying the duties that broker-dealers and investment advisers owe to their retail customers and clients:
United States
3 Jul 2019
7
What To Expect When You're Expecting The End Of Libor
The transition away from Libor by 2021 presents a series of significant challenges to the financial markets, for numerous reasons.
United States
21 Jun 2019
8
Federal Reserve Developments Relating To Confidential Supervisory Information
The Board of Governors of the Federal Reserve System (FRB) issued two notable documents over the past two weeks involving confidential supervisory information (CSI):
United States
21 Jun 2019
9
Arnold & Porter Discusses The End Of LIBOR
As alerted in our previous Advisories, LIBOR, the "world's most important number," is being phased out.
United States
20 Jun 2019
10
Insider Trading's Personal Benefit Test One Year After Martoma
Other cases suggest that prosecutors may choose to avoid the challenges posed by the personal benefit test altogether.
United States
20 Jun 2019
11
The End Of LIBOR
As alerted in our previous Advisories, LIBOR, the "world's most important number," is being phased out.
United States
12 Jun 2019
12
One Year Later: Regulators Issue Guidance To Financial Professionals And Firms About The Senior Safe Act
On May 23, 2019, the SEC, NASAA, and FINRA issued a fact sheet to provide guidance to financial professionals and firms about the Senior Safe Act and its immunity provisions, which were passed a year ago.
United States
10 Jun 2019
13
Minding The GAAP: What You Need To Know About The Current Expected Credit Losses Methodology
The federal banking agencies have issued a final rule addressing pending changes to credit loss accounting under U.S. generally accepted accounting principles, including implementation of the current expected ...
United States
16 May 2019
14
Federal Reserve Releases Proposal In Effort To Clarify "Control" Determinations
On April 23, 2019, the Board of Governors of the Federal Reserve System released a highly anticipated proposed rule aimed at simplifying and increasing the transparency of its rules relating to control determinations ...
United States
16 May 2019
15
Not As Close To The Vest: OFAC Releases A "Framework" For Sanctions Compliance That Offers A Glimpse Into The Agency's Enforcement Posture
Moreover, the document also includes a list of specific "root causes" of prior sanctions violations identified by OFAC.
United States
9 May 2019
16
SEC Scrutinizes Registered Investment Adviser's Statements to Investors About Due Diligence
On April 23, 2019, the SEC entered a settled Order Instituting Administrative and Cease-and-Desist Proceedings against Charter Capital Management, LLC, a former Florida-based SEC-registered investment adviser, ...
United States
7 May 2019
17
Landgraf Quoted In American Banker On Reference Rate Transition
Landgraf Quoted In American Banker On Reference Rate Transition.
United States
30 Apr 2019
18
Arnold & Porter Discusses Bill On Banking Services For Marijuana-Related Firms
Depository institutions have been understandably reluctant to provide banking services to cannabis-related businesses in light of the significant (and costly) regulatory and compliance expectations that apply under the Bank Secrecy Act ...
United States
17 Apr 2019
19
FDIC Alerts Industry Of Vendor Contract Gaps
On April 2, 2019, the FDIC provided notice to all FDIC-supervised institutions that examiners have observed certain deficiencies in banks' contracts with technology service providers and that such observations are being noted ...
United States
5 Apr 2019
20
SAFE Banking Act, Increasing Access To Banking Services For Legitimate Marijuana-Related Businesses
This relief would significantly alleviate the security and related concerns created by the large amounts of currency with which the industry currently grapples.
United States
3 Apr 2019
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