Mondaq USA: Finance and Banking
Orrick
On January 3, 2017, the ECB published a consultation paper on the revision of the Regulation on oversight requirements for SIPS ("SIPS Regulation").
Troutman Sanders LLP
The letter, signed by Ben Sasse (Neb.) and Mike Lee (Utah), requested that Trump dismiss Cordray "promptly after his inauguration."
Cadwalader, Wickersham & Taft LLP
The CFTC granted an Order of Registration to ICE Endex Markets B.V., a foreign board of trade ("FBOT") located in Amsterdam.
Cadwalader, Wickersham & Taft LLP
JP Morgan Securities, LLC ("JPMS"), a registered futures commission merchant and swap dealer, agreed to pay a $900,000 civil monetary penalty to settle CFTC charges...
Cadwalader, Wickersham & Taft LLP
The New York Department of Financial Services ("NYDFS") proposed revisions to cybersecurity rules, which apply to a wide range of insurance, banking and financial services companies...
Baker Newman Noyes
Lately, we are seeing an increased level of interest in Risk Participation Agreements (RPAs) by our clients.
Kramer Levin Naftalis & Frankel LLP
The CFTC's Division of Market Oversight announced time-limited no-action relief to DCOs and reporting entities for certain swaps reporting obligations amended by a CFTC Final Rule published on June 27.
Kramer Levin Naftalis & Frankel LLP
CFTC chairman Timothy Massad tendered his resignation from the commission to President Obama, effective Jan. 20, 2017.
Kramer Levin Naftalis & Frankel LLP
The SEC's Division of Investment Management published guidance stating mutual funds that modify fee structures and offer new share classes in order to comply with the Department of Labor's...
Kramer Levin Naftalis & Frankel LLP
In a pair of appointments, the SEC named Timothy Husson as associate director in the Division of Investment Management's Risk and Examinations Office and Sara P. Crovitz as deputy chief counsel...
Kramer Levin Naftalis & Frankel LLP
New Public Alternative Funds
Kramer Levin Naftalis & Frankel LLP
Liquid alternative specialist AlphaCentric Funds converted an options-focused hedge fund into a mutual fund, to be called the AlphaCentric Hedged Market Opportunity Fund (HMXIX).
Troutman Sanders LLP
On December 22, the United States District Court for the Eastern District of Pennsylvania entered judgment in favor of the defendant in an action involving a Truth in Lending Act claim...
Cadwalader, Wickersham & Taft LLP
CFTC Chair Timothy Massad urged regulators to "address the causes" of the "discontent" that led to Brexit and the outcome of the U.S. presidential election, but "not [to] reverse the reforms made since the crisis."
Cadwalader, Wickersham & Taft LLP
The New York Department of Financial Services ("DFS") recently issued a revised version of the cybersecurity rules that it first announced in the fall of last year.
Jones Day
The Comptroller of the Currency has been working for more than a year to develop a comprehensive framework to improve the OCC's ability to identify and understand trends and innovations in the financial services industry, as well as evolving customer needs.
Reed Smith
In 2016, the U.S. Commodity Futures Trading Commission brought several significant enforcement actions involving computerized robo-advisors, recordkeeping and reporting requirements, insider trading, spoofing, market manipulation, and employee liability. Many of these cases included novel theories and new interpretations of existing laws and regulations.
Ropes & Gray LLP
The U.S. Commodity Futures Trading Commission (the "CFTC") has issued amended aggregation rules for determining compliance with speculative position limits established by the CFTC in futures contracts and options thereon.
Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") appointed a new senior leadership team.
Orrick
On December 23, 2016, Deutsche Bank AG ("Deutsche Bank") announced that it had reached a settlement in principle with the United States Department of Justice...
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BakerHostetler
With the clock ticking down to the new year, on December 28, 2016, the NYDFS released highly anticipated revisions to its proposed Cybersecurity Requirements for Financial Services Companies.
Hughes Hubbard & Reed LLP
The FCPA Blog, a leading anti-corruption publication, described Hughes Hubbard's Fall 2016 Foreign Corrupt Practices Act/ Anti-Bribery Alert as "one of the best FCPA resources available for compliance...
Morrison & Foerster LLP
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month...
Troutman Sanders LLP
With the Obama administration coming to an end, January 2017 marks the beginning of a dramatic wholesale conservative shift in federal public policymaking.
Orrick
On January 1, 2017, certain amendments to California's current statutory schemes for authorizing Property Assessed Clean Energy (PACE) financing programs will become effective.
Cadwalader, Wickersham & Taft LLP
In a 2017 Regulatory and Examination Priorities Letter ("Priorities Letter"), FINRA identified compliance, supervision and risk management as primary areas for review.
Day Pitney LLP
On December 28, the New York Department of Financial Services issued revisions to the extensive and detailed cybersecurity regulations for licensed banks and insurance companies...
Foley & Lardner
Politically, 2016 is a year few of us will soon forget — and 2017 could be just as memorable, as the focus shifts from the campaign trail to Capitol Hill. With Congress adjourned...
Morrison & Foerster LLP
The European Commission ("Commission"), on 23 November 2016, released its legislative proposals to amend the EU's Bank Recovery and Resolution Directive ("BRRD")...
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
An old saw defines insanity as doing the same thing over and over again and expecting a different result. Wendy's shareholders recently flouted that maxim by filing a derivative action...
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