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Searching Content indexed under Compliance by Kramer Levin Naftalis & Frankel LLP ordered by Published Date Descending.
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La préparation des départements compliance des banques à l'arrivée du Brexit
Paris partner Gilles Kolifrath authored an article titled "La préparation des départements compliance des banques à l'arrivée du Brexit" which was published by the French publication
France
2 Jul 2019
2
Climate Mobilization Act Creates Opportunity For NY Real Estate
New York City Council recently passed the Climate Mobilization Act, which contains six measures designed to reduce greenhouse gas emissions produced by the city's built environment.
United States
17 Jun 2019
3
U.S. Resolution Stay Regulations — Final Rules And ISDA Protocol
As regulators in Europe and elsewhere have done, U.S. banking regulators have introduced new regulations designed to facilitate the resolution of a global systemically important bank (GSIB).
United States
2 Oct 2018
4
A New Legislative Framework For ICOs In France
The regulatory focus on initial coin offerings (ICOs) has not diminished since our last client alert where we mentioned that the public consultation of the French Financial Markets Authority (AMF) ...
United States
6 Apr 2018
5
FINRA Expands Margin Rules For Mortgage-Backed Securities Transactions
FINRA has introduced an expansion of Rule 4210 (the Rule), effective Dec. 15, 2017, importing margin concepts into the world of mortgage-backed transactions.
United States
5 Jun 2017
6
Federal Reserve Finds First Bank In Violation Of The Volcker Rule
On April 20, 2017, the Board of Governors of the Federal Reserve System issued a Consent Order to Deutsche Bank AG after finding deficiencies in the bank's Volcker Rule compliance program...
United States
19 May 2017
7
Preparing For Antitrust Scrutiny Of Arranger And Lender Conduct In Leveraged Loan Commitment Process
While to date the European Commission has not announced the timing of any sector inquiry, it would typically be followed by formal investigations and enforcement actions against violators.
European Union
18 May 2017
8
Independent Advisers' Compliance Must Improve: OCIE Director
Peter Driscoll, acting director of the SEC's Office of Compliance Inspections and Examinations, said the agency is exploring ways to strengthen compliance at independent advisers.
United States
24 Apr 2017
9
Compliance Costs Expected To Rise In Next Two Years: Survey
According to an Accenture poll, 89% of compliance executives with global financial services firms expect their companies to foot a much steeper bill to address compliance issues within the next couple of years.
United States
24 Apr 2017
10
SEC Announces Departure Of Marc Wyatt, Others
Marc Wyatt, director of the SEC's Office of Compliance Inspections and Examinations, will leave the agency this month to return to the private sector.
United States
21 Feb 2017
11
Loi Sapin II
La loi n° 2016-1691 relative à la transparence, à la lutte contre la corruption et à la modernisation de la vie économique (dite « Sapin II ») est parue au Journal Officiel le 10 décembre 2016.
European Union
9 Feb 2017
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