LATEST ARTICLES
United States
Greenberg Traurig, LLP
On April 16, 2024, the CFPB issued a revised rule aimed at streamlining its procedures for designating nonbank covered entities for supervision.
Quinn Emanuel Urquhart & Sullivan
In recently-issued guidance, the New York State Department of Financial Services (DFS) advises banks to vet the "character and fitness" of their top personnel.
Cullen and Dykman
A South Dakota-based national bank has agreed to pay more than $700,000 to settle charges from the New York State Attorney General that the Bank violated New York's...
Goodwin Procter LLP
Kansas has become the fourth state (and the second in 2024) to enact a law that establishes a financial services oversight regime for earned wage access services...
Goodwin Procter LLP
The majority of the remittance transfers sent are electronic transfers of funds sent by consumers in the United States to recipients in other countries.
Goodwin Procter LLP
On April 17, 2024, the Consumer Finance Protection Bureau (CFPB) announced that it had entered into a consent order with BloomTech Inc., d/b/a Bloom Institute of Technology (BloomTech)...
Goodwin Procter LLP
On April 17, 2024, the New York State Attorney General (NY AG) announced that it entered into an Assurance of Discontinuance (AOD) with a national bank...
Goodwin Procter LLP
Key persons are investment professionals who are considered indispensable to a fund's investment activities.
HKA
Most accountants are familiar with the first in, first out (FIFO) and last in, first out (LIFO) inventory pricing methodologies.
Shulman Rogers
The Small Business Administration ("SBA") recently announced relief for private nonprofits and small businesses impacted by the tragic accident involving the collapse of the Francis Scott Key bridge on March 26, 2024.
Winston & Strawn LLP
Under its current rule, the New York Stock Exchange (NYSE) commences delisting procedures against a listed special purpose acquisition company (SPAC) if it fails to complete a business combination...
WilmerHale
With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of Investment Advisers Act...
K&L Gates
On 10 April 2024, the National Futures Association's (NFA) Business Conduct Committee (BCC) issued an order against 50.ai Investments LLC, a former NFA Member commodity pool operator and forex firm.
Mayer Brown
On August 24, 2023, the US Court of Appeals for the Second Circuit issued its decision in the Kirschner v. JPMorgan litigation saga, rejecting the plaintiff's...
Scarinci Hollenbeck LLC
Known as the "Supervision Rule," FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons.
Manatt, Phelps & Phillips LLP
In the context of a purchase or sale of a security, Rule 10b-5(b) (17 CFR § 240.10b-5(b)) makes it unlawful "[t]o make any untrue statement of a material fact or to omit to state...
Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") is engaged in a firestorm of tricky litigation these days.
European Union
K&L Gates
The UK's FCA has published consultation paper 24/7: Payment optionality for investment research. It proposes a new, more flexible, way to charge third-party investment research to clients.
Worldwide
Goodwin Procter LLP
On 10 April 2024, the Financial Conduct Authority (FCA) published a Consultation Paper on payment optionality for investment research (CP24/7). CP24/7 followed the UK Investment Research Review...
Katten Muchin Rosenman LLP
Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.
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