Mondaq USA: Finance and Banking
Shearman & Sterling LLP
On June 4, 2018, CFTC filed and settled charges against a major European investment bank, and the U.S. Department of Justice entered into a deferred prosecution agreement ...
Proskauer Rose LLP
For the past seven years, The Private Credit Group at Proskauer Rose LLP has tracked deal data for private credit transactions (our "data").
Holland & Knight
The Economic Growth, Regulatory Relief and Consumer Protection Act (the Act), which engendered substantial bipartisan support and was recently signed into law by President Donald Trump ...
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay approximately $15 million to settle SEC charges of failing to supervise residential mortgage-backed securities ("RMBS") traders and salespersons.
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency, the FDIC and the Board of Governors of the Federal Reserve System ("Agencies") issued an updated policy statement on coordination...
WilmerHale
The Board of Governors of the Federal Reserve System unveiled a Notice of Proposed Rulemaking seeking comment on proposed revisions to the regulations implementing Section 13 of the Bank Holding Company Act ...
Ropes & Gray LLP
On June 5, 2018, the SEC's Division of Investment Management supplemented its Staff Responses to Questions About the Custody Rule to respond to a significant ambiguity in its prior custody guidance ...
Carlton Fields
There several differences – based on the types of transactions covered and the requirements for compliance.
Holland & Knight
In China Agritech, Inc. v. Resh, et al., a unanimous U.S. Supreme Court reversed the U.S. Court of Appeals for the Ninth Circuit's previous ruling in American Pipe and Construction Co. v. Utah ...
Thompson Coburn LLP
On May 24, 2018, President Trump signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act (the "Act").
Withers LLP
Last week, the Federal Reserve Board proposed several changes to the Volcker Rule, which was originally passed in response to the financial crisis of 2007-2009 to limit risky trading activities by banks.
Stroock & Stroock & Lavan LLP
On March 23, 2018, President Trump signed the Consolidated Appropriations Act of 2018, which included the Small Business Credit Availability Act (the "SBCAA").
Jones Day
President Trump has signed into law the Economic Growth, Regulatory Relief, and Consumer Protection Act ("Act"), with the principal goals of promoting U.S. economic growth, recalibrating burdensome rules...
Duane Morris LLP
While the REIT Investment and Diversification Act ("RIDEA") has been in existence since 2008, there has been a clear and recent trend among public healthcare REITS to capitalize on the opportunities the statute provides.
Arnold & Porter
n May 21, the Commodity Futures Trading Commission (CFTC) issued a special Staff Advisory with guidance to regulated trading platforms and clearing organizations that propose to list...
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") will develop an online learning program and proficiency examination for individuals engaged in swaps activities.
Cadwalader, Wickersham & Taft LLP
U.S. Treasury Department ("Treasury") Undersecretary for Terrorism and Financial Intelligence Sigal P. Mandelker addressed Iran's alleged "malign" activities ...
Shearman & Sterling LLP
The U.S. Board of Governors of the Federal Reserve System, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Securities and Exchange Commission ...
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo defended the CFTC's "bare-bones, no waste, fiscally conservative, and mindful of taxpayer dollars" budget request for FY 2019.
Kramer Levin Naftalis & Frankel LLP
The SEC proposed rules and amendments designed to promote research on registered closed-end funds, mutual funds, exchange‑traded funds, BDCs, and similar covered investment funds.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
BakerHostetler
On Dec. 5, 2017, the Federal Trade Commission reached a settlement with three defendants who it alleged partook in deceptive, abusive and unfair debt collection practices ...
Holland & Knight
The rapid proliferation of technological advancements in global financial markets has caused regulators in several countries to increase their scrutiny of investments in, and implications of, cryptocurrencies.
Shearman & Sterling LLP
On May 7, 2018, the Financial Stability Board published proposed Recommendations for consistent national reporting of data concerning the use of compensation tools ...
Shearman & Sterling LLP
May 11, 2018 marked the compliance date for the Customer Due Diligence Requirements for Financial Institutions rule[1] issued by the U.S. Treasury Department's Financial Crimes Enforcement Network ...
Shearman & Sterling LLP
On April 16, 2018, President Donald Trump announced his intent to nominate Michelle Bowman and Richard Clarida to serve as Members of the U.S. Board of Governors of the Federal Reserve System.
Mayer Brown
Last week, we wrote about how the Bureau of Consumer Financial Protection ("Bureau") under Acting Director Mick Mulvaney had surprisingly doubled down on claims of unfair, deceptive...
Asit Mehta & Associates
AMIL provides both personal and business loans.
Troutman Sanders LLP
In a recent decision denying plaintiffs Aldean Isaac's and Julissa Ortiz's motion for summary judgment, a federal district court judge in the Eastern District of New York found that defendant NRA Group...
Shearman & Sterling LLP
On May 11, 2018, the U.S. Board of Governors of the Federal Reserve System, Office of the Comptroller of the Currency and Federal Deposit Insurance Corporation published the customer due diligence and...
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