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Searching Content indexed under Financial Services by Orrick ordered by Published Date Descending.
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1
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
2
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
3
Financial Services Trade Associations Urge HM Treasury To Recognize EEA Derivatives Trading Venues In Event Of No-Deal Brexit
A number of key UK, EU and international financial services trade associations published a letter (dated April 5) to HM Treasury on the equivalence of European Economic Area (EEA)
European Union
1 May 2019
4
Newly Launched MAPS Consults On National Strategy For Money And Pensions
On April 8, the Money and Pensions Service (MAPS) published a press release announcing its official launch, and a listening document on a national strategy for money and pensions and MAPS' three-year corporate plan.
United States
1 May 2019
5
PRA Consults On Revisions to Branch Returns For International Banks
On April 8, the Prudential Regulation Authority (PRA) published a consultation paper (CP8/19) on the revision of the branch return for international banks.
United States
1 May 2019
6
European Commission Consults On Effectiveness of DMD
The European Commission has launched a consultation relating to its evaluation of the Distance Marketing of Financial Services Directive (2002/65/EC) (DMD).
European Union
1 May 2019
7
Rating Agency Developments - April 15, 2019
On April 9, Fitch published a report entitled: "U.S. Credit Card ABS Performance Mixed."
United States
1 May 2019
8
CFTC Approves Comparability Determination For Japan's Uncleared Swap Margin Rules
On March 26, the CFTC approved an amended comparability determination that would extend the substituted compliance permitted for Japan's margin requirements for uncleared swaps with respect to the scope of entities...
United States
25 Apr 2019
9
European Parliament Adopts First Reading Position On Proposed Regulation And Directive On European Crowdfunding Service Providers
On the March 27, the European Parliament issued a press release announcing that it has adopted its position at first reading on the proposed Regulation on European crowdfunding service providers
European Union
25 Apr 2019
10
CFTC Adopts Final Rule Amending De Minimis Exception To Swap Dealer Definition
On March 25, the CFTC adopted a final rule amending the de minimis exception to the definition of "swap dealer."
United States
25 Apr 2019
11
CFTC Approves Comparability Determination For Australia's Uncleared Swap Margin Rules
On March 27, 2019, the CFTC approved a comparability determination of Australia's margin requirements for uncleared swaps, finding the requirements comparable to U.S. requirements for substituted compliance purposes.
United States
25 Apr 2019
12
CTFC Unanimously Approves Project KISS Rulemakings To Ease Regulatory Burdens
On March 28, 2019, the CTFC approved final rule amendments that simplify registrants' obligations in regulations governing the segregation of assets held as collateral in uncleared swap transactions...
United States
25 Apr 2019
13
CFTC Issues Interim Final Rule Allowing Uncleared Swaps To Retain Legacy Status In Case Of "No-Deal Brexit"
On March 25, the CFTC adopted and requested comments on an interim final rule designed to provide greater regulatory certainty to global derivatives markets in the event of a "no-deal Brexit."
United States
25 Apr 2019
14
ESMA Publishes Guidelines On Risk Factors Under Prospectus Regulation
On March 29, the European Sescurities and Markets Authority (ESMA) published a report setting out final guidelines on how NCAs should review risk factors as required by the new Prospectus Regulation.
United States
25 Apr 2019
15
CTFC Staff Issues No-Action Relief To Facilitate Prime Brokerage Activities On SEFs
On March 29, 2019, the CTFC provided relief intended to encourage prime brokers to trade swaps on swap execution facilities by excusing certain pre-trade disclosures.
United States
25 Apr 2019
16
ESMA Fines Fitch CRAs For Breaching Conflict Of Interest Requirements
On March 28, ESMA fined three credit rating agencies, all belonging to the Fitch Group, a total of €5,132,500, in relation to breaching the conflict of interest requirements under the CRA Regulation (1060/2009) (CRAR).
United States
25 Apr 2019
17
European Money Markets Institute Announces Consultation On Euro Overnight Index Average Methodology Changes
On March 20, the European Money Markets Institute (EMMI), the administrator of the euro overnight index average (EONIA) ...
United States
23 Apr 2019
18
FCA Identifies Residual Risks Remaining In Event Of No-Deal Brexit
On March 21, the Financial Conduct Authority (FCA) published a speech given by Nausicaa Delfas, FCA Executive Director of International, on Brexit.
United States
23 Apr 2019
19
ECB Publishes Annual Report For 2018 Supervisory Activities
On March 21, the (ECB) published its annual report on supervisory activities for 2018, which sets out the ECB's key achievements during 2018 under the single supervisory mechanism (SSM).
United States
5 Apr 2019
20
SDNY Dismisses FDIC Claims For Lack Of Standing Again
The Federal Deposit Insurance Corporation (FDIC) as receiver for Guaranty Bank brought claims against The Bank of New York Mellon, U.S. National Bank Association, and Citibank, N.A.
United States
5 Apr 2019
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