Searching Content indexed under Financial Services by Edward G. Eisert ordered by Published Date Descending.
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SEC/FINRA Joint Statement On Digital Asset Securities Does Not Address Regulatory Log Jam
Last week, the Staffs of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) (collectively, the Staffs)
United States
29 Jul 2019
SEC And FINRA Confirm Digital Assets A 2019 Examination Priority
Recently, the Staffs of the SEC and FINRA announced their annual examination and regulatory priorities: the SEC's Office of Compliance, Inspections and Examinations issued its 2019 Examination Priorities ...
United States
20 May 2019
NYDFS To Virtual Currency Exchange: Don't Let The Door Hit You On Your Way Out
The New York Department of Financial Services virtual currency license is back in the spotlight after NYDFS announced that it had rejected the application of Bittrex Inc.
United States
14 May 2019
OCC Issues Responsible Innovation Framework
The OCC announced that it will establish an office "dedicated to responsible innovation and implement a formal framework...
United States
9 Nov 2016
CFPB Structure Ruled Unconstitutional
On October 11, 2016, the U.S. Court of Appeals for the District of Columbia Circuit ruled in PHH Corporation v. Consumer Financial Protection Bureau that the CFPB's structure is unconstitutional.
United States
26 Oct 2016
Addendum To ECB Guide On Harmonizing Options And Discretions Available In Union Law
On August 10, 2016, the European Central Bank (ECB) published an addendum to its guide on options and discretions (O&Ds) available in Union law.
United States
19 Aug 2016
Rating Agency Developments
On August 10, 2016, KBRA published its rating methodology for global closed-end fund securities issuances.
United States
19 Aug 2016
CFTC Announces Actions Addressing Application Of The Dodd-Frank Act To Cross-Border Transactions
On August 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced two separate actions relating to the application of the Dodd-Frank Act to cross-border transactions.
United States
19 Aug 2016
EBA Amends Implementing Technical Standards On Benchmarking Of Internal Approaches Under CRD IV
On August 4, 2016, the European Banking Authority (EBA) published and submitted to the EU Commission an amended version of its Implementing Technical Standards (ITS) on benchmarking...
United States
15 Aug 2016
EBA Publishes Final Draft RTS On Criteria For Preferential Treatment In Cross-Border Intra-Group Financial Support Under LCR
On July 27, 2016, the EBA published a report containing final draft regulatory technical standards (RTS) on the specification of the additional objective criteria for preferential treatment...
United States
8 Aug 2016
FinCEN Issues Customer Due Diligence Rule (CDD) FAQs
On July 19, 2016, the Financial Crimes Enforcement Network ("FinCEN") issued FAQs regarding the customer due diligence requirements ("CDD") that it published on May 11, 2016...
United States
28 Jul 2016
NY DFS Adopts Final Anti-Terrorism And Anti-Money Laundering Regulation
On June 30, 2016, the New York Department of Financial Services ("NY DFS") adopted a final anti-terrorism and anti-money laundering regulation...
United States
18 Jul 2016
Federal Reserve Announces Extension Of Conformance Period Under Section 13 Of The Bank Holding Company Act
The Board had announced in December 2014 that it would make this extension to provide for orderly divestitures and to prevent market disruptions.
United States
18 Jul 2016
Banking Agencies Permit "Reduced Content" Living Wills For Smaller FBOs
To file reduced content plans for the next three years, the firms must maintain less than $50 billion in U.S. assets and not experience any material events.
United States
20 Jun 2016
Federal Reserve Updates Risk Management Supervisory Guidance For Smaller FBOs
On June 8, 2016, the Federal Reserve updated its Supervisory Guidance that partially supersedes SR letter 95-51, "Rating the Adequacy of Risk Management and Internal Controls at State Member Banks and Bank Holding Companies."
United States
20 Jun 2016
Treasury Announces Key Regulations And Legislation To Counter Money Laundering And Corruption, Combat Tax Evasion
On May 5, 2016, the U.S. Department of the Treasury announced several actions to strengthen financial transparency.
United States
16 May 2016
SEC's Division Of Investment Management Issues Letter Regarding Independent Verification Required By Rule 206(4)-2 Under The Advisers Act
On April 25, 2016, the Staff of the Division of Investment Management of the Securities and Exchange Commission issued a no-action letter that provides that it would not recommend enforcement action...
United States
5 May 2016
OCC Releases Its Risk Appetite Statement
On April 12, the Office of the Comptroller of the Currency ("OCC") released its Risk Appetite Statement, which sets boundaries of acceptable levels of risk in key areas of agency operations.
United States
21 Apr 2016
FinCEN Proposes Funding Portals Regulations Under Bank Secrecy Act
On April 4, 2016, the Financial Crimes Enforcement Network, a bureau of the Department of the Treasury ("FinCEN"), proposed amendments to the definitions of ''broker or dealer in securities''...
United States
15 Apr 2016
Federal District Court Rules Against Designation Of MetLife As A "SIFI" Under Dodd-Frank Act
The FSOC has designated just four non-banks as SIFIs, but MetLife was the only one to file a lawsuit protesting it.
United States
11 Apr 2016
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