Mondaq USA: Finance and Banking
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB"), the CFPB, and the OCC issued a final rule detailing the method to be used to determine the threshold for exempting smaller mortgage loans...
Cadwalader, Wickersham & Taft LLP
The CFTC granted a request by Chicago Mercantile Exchange Clearing Europe Limited ("CMECE") for registration as a derivatives clearing organization ("DCO") under the CEA.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to FCMs and introducing IBs by allowing them to provide non-institutional customers with a single-risk disclosure document...
Cadwalader, Wickersham & Taft LLP
A brokerage firm agreed to pay $6.25 million in fines and approximately $780,000 in restitution to settle FINRA sanctions that it (i) inadequately supervised customer use of leverage...
Shearman & Sterling LLP
On October 21, 2016, the FATF published Guidance on correspondent banking services, which it has developed in collaboration with the FSB.
Shearman & Sterling LLP
On October 21, 2016, the Financial Action Task Force published Guidance to assist countries on the content required to comply with the obligation to criminalize terrorist financing.
Foley & Lardner
The New York State Department of Financial Services (DFS) made headlines back in late September with a "first-in-the-nation" piece of legislation aimed at mandating specific cybersecurity protocols for banks...
Shearman & Sterling LLP
On October 24, 2016, The Financial Services (Banking Reform) Act 2013 (Consequential Amendments) (No. 2) Order 2016 was made.
Cadwalader, Wickersham & Taft LLP
Comptroller of the Currency Thomas J. Curry urged banking regulators to "remain vigilant" about maintaining reasonable levels of capital and liquidity that could cushion the blow in the next downturn.
Cadwalader, Wickersham & Taft LLP
President-Elect Trump's nominee for Treasury Secretary, Steven Mnuchin, stated that the "number-one problem with Dodd-Frank is it's way too complicated and cuts back lending."
Dentons
Pershing Square Capital Management has found itself in the unenviable position of having to seek absolution from the Securities and Exchange Commission for the consequences of an unintended $500...
Fox Rothschild LLP
Mark L. Silow was featured in the Philadelphia Business Journal article, "Pa. Law Firms' Financial Performance Outstrips National Peers."
Kramer Levin Naftalis & Frankel LLP
The global demand for factor-based strategies continues to rise among private banks, global pension funds, insurers, sovereign wealth funds and others...
Kramer Levin Naftalis & Frankel LLP
New Public Alternative Funds - December 2016
Kramer Levin Naftalis & Frankel LLP
The SEC approved a FINRA proposal requiring member firms to disclose the mark-up or mark-down on retail customer confirmations for most transactions in corporate and agency debt securities.
Kramer Levin Naftalis & Frankel LLP
Alternative asset managers identified liquidity management as their top priority in a survey conducted by AIMA and State Street.
Kramer Levin Naftalis & Frankel LLP
The CFTC unanimously approved amendments to its regulations regarding the financial reports commodity pool operators are required to provide on their operations.
Shearman & Sterling LLP
ESMA published updated translations of its final Guidelines on the implementation of the Market Abuse Regulation for persons receiving market soundings and on delayed disclosure of inside information.
Shearman & Sterling LLP
On October 25, 2016, FinCEN issued an Advisory and related Frequently Asked Questions (FAQs) regarding the reporting of cyber-events, cyber-enabled crime and cyber-related information through SARs.
Shearman & Sterling LLP
On November 4, 2016, the US Financial Crimes Enforcement Network published technical amendments to anti-money laundering (AML) regulations implemented pursuant to the Bank Secrecy Act (BSA).
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Shearman & Sterling LLP
On November 8, 2016, the EBA published a consultation paper on proposed technical standards on the information to be provided by applicant banks to national regulators...
Shearman & Sterling LLP
On November 4, 2016, the EBA published a Report on the impact of the adoption into EU legislation of the new international frameworks for counterparty credit risk and market risk.
Shearman & Sterling LLP
On October 28, 2016, the EBA launched a consultation on draft revised Guidelines on internal governance for credit institutions and investment firms.
Carlton Fields
The fourth quarter of 2016 has seen an uptick in regulatory activity respecting the financial services sector in the cybersecurity space...
Cadwalader, Wickersham & Taft LLP
The CFTC approved amendments to Part 4 of the CFTC Rules that (i) allow CPOs to use alternative accounting standards in preparing financial statements for non-U.S. pools, and (ii) adopt exemptions...
Shearman & Sterling LLP
The EBA published a discussion paper on the design for a new framework for applying prudential standards to non-bank investment firms that are not deemed to be systemically important.
Cadwalader, Wickersham & Taft LLP
The SEC adopted a final rule to impose additional liquidity risk requirements by open-end funds, such as mutual funds and exchange-traded funds.
Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") filed a petition with the D.C. Circuit Court of Appeals to review an October ruling that held the structure of the CFPB to be unconstitutional.
Cadwalader, Wickersham & Taft LLP
The SEC requested comments on a MSRB proposal to: (i) modernize requirements for dealers' handling of customer complaints; (ii) extend those requirements to municipal advisors...
Cadwalader, Wickersham & Taft LLP
A firm settled SEC, Board of Governors of the FRB and U.S. DOJ charges that it had hired individuals referred by foreign officials and other clients in order to obtain improper business advantages...
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