Searching Content indexed under Financial Services by Jones Day ordered by Published Date Descending.
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FINRA Clarifies When Credit For Extraordinary Cooperation Will Be Awarded In Investigations
The Situation: In recent years, broker-dealers have been seeking further transparency from the Financial Industry Regulatory Authority ("FINRA")
United States
19 Sep 2019
Australian Financial Services Subject To Perfect Storm Of Enforcement
Recent strategies and initiatives announced by Australia's corporate and prudential regulators and the Australian government's release in August 2019 of its Financial Services Royal Commission
18 Sep 2019
ISDA Pre-Cessation Trigger Consultation On LIBOR Renders Inconclusive Verdict
The International Swaps and Derivatives Association ("ISDA") is in the midst of consulting the market on a wide variety of issues to develop "triggers" and "fallbacks"
United States
13 Sep 2019
NY DFS Doubles Down On FinTech, Consumer Protection, And Cryptocurrency Regulation
The New York State Department of Financial Services creates a new FinTech Division.
United States
12 Sep 2019
FINRA Advises Member Firms To Submit Questions To The SEC On Regulation Best Interest
FINRA advises broker-dealers about the SEC's recently adopted Regulation Best Interest and solicits implementation questions.
United States
11 Sep 2019
SEC/FINRA Issue Joint Guidance On Broker-Dealer Custody Of Digital Assets
The Statement identifies several issues that broker-dealers participating in digital asset securities trades must consider, including, most notably, the custodying of such assets.
United States
11 Sep 2019
Five Federal Financial Regulators Exclude Community Banks From Volcker Rule Regulations
The regulatory changes will be effective as of the date of publication of the final rule in the Federal Register.
United States
23 Jul 2019
Mandatory Summer Reading: SEC Staff Issues Rare Joint Statement On LIBOR Transition
The Divisions and the OCA released the Statement on July 12, 2019.
United States
23 Jul 2019
New Regime For Debt Prospectuses : Ready, Set, Go!
Debt capital markets players are entering into the Prospectus 3 era, with three major changes impacting debt prospectuses.
European Union
22 Jul 2019
How To Screen Investments For Sustainability
This classification system, or "taxonomy," is the first priority of the European Union's 10 Step Action Plan.
European Union
19 Jul 2019
CFTC Scrutiny Of Opportunistic CDS Strategies Extends Beyond Manufactured Credit Events
The buyer of protection pays a premium to the seller of protection in order to receive protection against a credit event.
United States
19 Jul 2019
Bank Of England Publishes Discussion Paper On Risk Management Systems For Collateral Referencing LIBOR
The BoE requests that views be submitted to the discussion paper by September 27.
9 Jul 2019
Final Rule On Regulation Best Interest Now Complete
Broker-dealers will need to review their policies and procedures on the methodology for making recommendations to ensure compliance with the Care Obligation.
United States
4 Jul 2019
Germany To Implement EU Anti-Money Laundering Directive With Cryptocurrency Licensing Requirements
On May 20, 2019, the German Federal Ministry of Finance published guidance on its Draft Act implementing the AMLD5.
4 Jul 2019
Japan Legal Update Vol. 47 | May–June 2019
The Amendment will come into force on or before May 17, 2020, the exact date to be specified by a Cabinet Order.
3 Jul 2019
ARRC Publishes Final LIBOR Transition Recommendations For Securitizations And Bilateral Business Loans
The recommended language for Securitizations has already been implemented in a Ford auto loan securitization.
United States
27 Jun 2019
Financial Crimes Enforcement Network Consolidates Guidance On Virtual Currencies
On May 9, 2019, FinCEN released new interpretive guidance regarding the application of the BSA and the AML regulations to digital currencies (or "convertible virtual currencies," as FinCEN calls them).
United States
24 Jun 2019
Tribune District Court Rules That LBO Payments May Not Be Avoided Because Debtor Was "Customer" Of "Financial Institution"
In In re Tribune Co. Fraudulent Conveyance Litig., 2019 WL 1771786 (S.D.N.Y. Apr. 23, 2019), the U.S. District Court for the Southern District of New York denied a litigation trustee's motion to amend a complaint ...
United States
21 Jun 2019
Proposed FIRPTA Regulations Provide Clarity For Pension Funds
On June 6, 2019, the U.S. Treasury released proposed regulations under Internal Revenue Code section 897(l) providing guidance for "qualified foreign pension funds" for purposes of the Foreign Investment in Real Property Tax Act.
United States
17 Jun 2019
Additional CDS Documentation Reforms On The Way
ISDA proposes "de facto" category of original issue indebtedness as part of its CDS definitional reforms.
United States
11 Jun 2019
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