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Searching Content indexed under Capital Adequacy/BASEL by Day Pitney LLP ordered by Published Date Descending.
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SEC Crackdown On Investment Adviser Compliance Deficiencies
The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
United States
6 Dec 2011
2
Connecticut Department Of Banking Releases Orders Clarifying Investment Adviser Registration And Regulation
On July 11, 2011, the State of Connecticut Department of Banking (the "Department") released three Orders regarding Connecticut investment adviser registration and regulation.
United States
19 Jul 2011
3
Updated Regulatory Guidance For Authentication In An Internet Banking Environment: A New Standard Of Care?
On June 29, 2011, the Federal Financial Institutions Examination Council (the "FFIEC"), a federal interagency body empowered to prescribe uniform standards of supervision for banks and credit unions, issued new guidance (the "FFIEC 2011 Supplement") updating the FFIEC's minimum supervisory expectations "regarding customer authentication, layered security, and other controls in an increasingly hostile online environment."
United States
19 Jul 2011
4
Expiration of Certain Municipal Bond Tax Provisions
In the absence of congressional action, many tax laws affecting municipal bonds will change significantly at the end of this year.
United States
 
2 Dec 2010
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