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Searching Content indexed under Capital Adequacy/BASEL by WilmerHale ordered by Published Date Descending.
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The SEC Adopts Security-Based Swap Rules Governing Capital, Margin And Segregation
On June 21, 2019, the SEC adopted a package of rules and rule amendments that set forth the capital, margin and segregation requirements for security-based swap dealers and major security-based swap participants.
United States
2 Aug 2019
2
China Moves To Open Commodity Futures Trading To Foreign Participants
Alternatively, entities and individual investors that meet certain additional qualification requirements upon approval by the exchange may trade directly on the exchange.
China
6 Jun 2019
3
FINRA Now Authorized To Seek SARs Materials From Member Broker-Dealers
In December, 2010, the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) issued a final rule (Final Rule), effective January 3, 2011, amending the Bank Secrecy Act (BSA) regulations relating to disclosure of suspicious activity reports (SARs) by financial institutions and governmental authorities.
United States
28 Feb 2012
4
Ninth Circuit "Safe Harbor" For Web Hosts And Venture Firms
The Ninth Circuit Court of Appeals recently held that the copyright owner, not the Internet service provider or Internet host, bears the burden of policing copyrighted content on video-hosting websites: the copyright holder must identify specific infringing materials before liability can be shifted to the Internet service provider or host under the Digital Millennium Copyright Act (DMCA).
United States
23 Jan 2012
5
Regulators Propose Volcker Rule: Sweeping Changes Ahead
After a long and suspenseful wait, a proposal to implement the so-called "Volcker Rule" under Section 619 of the Dodd-Frank Act1 is finally seeing the light of day.
United States
 
19 Oct 2011
6
Supreme Court Curtails Ability Of Plaintiffs To Hold Secondary Actors Liable In Private Securities Fraud Actions
On June 13, 2011, mutual fund companies and "secondary actors" in the securities markets scored a major victory when the US Supreme Court ruled that aggrieved shareholders may seek relief under the securities laws only from the party with "ultimate authority" over a false statement.
United States
5 Jul 2011
7
IRS And FinCEN Extend FBAR Filing Deadline For Certain Officers And Employees With Signature Authority Only
On May 31, 2011, the Internal Revenue Service and the Financial Crimes Enforcement Network ("FinCEN") announced that a small subset of individuals would be granted a one-year extension to file Reports of Foreign Bank and Financial Accounts ("FBARs").
United States
6 Jun 2011
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