Mondaq All Regions: Finance and Banking
Shearman & Sterling LLP
On February 5, 2018, the Chief Executive of the Financial Conduct Authority, Andrew Bailey, gave a speech on Brexit at the Future of the City dinner.
Shearman & Sterling LLP
On November 9, 2017, ESMA published a consultation proposing amendments to RTS on the equity transparency obligations of trading venues and investment firms ...
Shearman & Sterling LLP
On November 10, 2017, a Regulation amending the European Venture Capital Funds Regulation and European Social Entrepreneurship Fund Regulation was published in the Official Journal of the European Union.
Singh & Associates
Bitcoin is a digital currency that allows people to buy goods and services and exchange money without involving banks, credit card issuers or other third parties.
Singh & Associates
The Hon'ble Supreme Court in the case of "Authorized Officer, State Bank of Travancore and Ors. Vs. Mathew K.C.", MANU/SC/0054/2018, whereby, the Appellant / Bank assailed an interim order dated 24.04.2015 ...
Mason Hayes & Curran
On 7 February 2018, the Central Bank of Ireland announced that it intends to amend the rules governing Loan-Originating Qualifying Investor AIFs, or L-QIAIFs, by broadening the range of activities permitted.
Argentarius ETI Management Ltd
NOTICE IS HEREBY GIVEN to you as an investor in either or both of the above-mentioned exchange traded instruments (ETIs) which are currently in the process of liquidation.
Niederer Kraft & Frey
On August 1, 2017 the first part of Switzerland's new FinTech rules will enter into force. The following provides an overview of the changes.
Shearman & Sterling LLP
On November 7, 2017, the UK Payment Systems Regulator published a report on the initiatives it has engaged in with banks, the payment systems industry and the FCA to prevent or mitigate ...
Gowling WLG
The Court of Appeal has decided that a company was not in breach of a warranty which stated that it was not restricted from disposing of an invoice, despite a 'no assignments' clause being contained in the underlying agreement.
Morrison & Foerster LLP
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
Cadwalader, Wickersham & Taft LLP
The CFTC approved an amendment that replaces the lettering system used in its list of defined terms (CFTC Rule 1.3) with an alphabetized list.
Cadwalader, Wickersham & Taft LLP
U.S. Bancorp and its operating subsidiary, U.S. Bank, entered into agreements to pay $613 million to resolve allegations that U.S. Bank broke Bank Secrecy Act/Anti-Money Laundering ("BSA/AML") rules.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo reaffirmed his commitment to a cross-border deference-based approach to clearinghouse regulation, encouraged expanded Congressional oversight over virtual currencies, and provided updates on several rulemaking initiatives.
Cadwalader, Wickersham & Taft LLP
FINRA enhanced the functionality of its Regulatory Extension ("REX") system, which allows firms to electronically submit requests for extensions of time pursuant to FINRA Rule 4210.
Cadwalader, Wickersham & Taft LLP
The CFTC Technology Advisory Committee ("TAC") considered challenges posed by new technologies.
Pryor Cashman LLP
On February 15, 2018, federal authorities - including the U.S. Department of Justice - filed charges against U.S. Bank, the fifth-largest commercial bank by assets in the United States, for allegedly neglecting anti-money laundering rules, helping a payday lender operate an illegal business and lying to a regulator.
Davis & Gilbert
Wells Fargo is being put on a highly restrictive diet by the Federal Reserve and won't get any relief until its compliance and governance shape up. Under the terms of the Fed's Consent Order ...
Shearman & Sterling LLP
On February 7, 2018, William Dudley, President of the Federal Reserve Bank of New York, participated in a panel discussion entitled "Banking Culture - Still Room for Improvement?"
Maples and Calder
The CLOser is the Maples group's industry newsletter for the global CLO market.
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