Mondaq USA: Finance and Banking
Shearman & Sterling LLP
The EBA published its decision (dated July 14, 2014) adopting rules of procedure for investigating breach of union law under the regulation establishing the EBA.
Shearman & Sterling LLP
On September 2, 2014, the ESRB recommendations for setting countercyclical buffer rates were published in the Official Journal of the European Union.
Shearman & Sterling LLP
A corrigendum to the text of the European Commission delegated regulation supplementing the CRR was published in the Official Journal of the European Union.
Shearman & Sterling LLP
On September 5, 2014, the ITS relating to relevant appropriately diversified indices for the calculation of capital requirements for equity risk were published.
ESMA published the translation of guidelines and recommendations on implementing the principles for financial market infrastructures.
Cadwalader, Wickersham & Taft LLP
On August 27, 2014, the Securities and Exchange Commission adopted two final rules implementing new regulations affecting asset-backed securities.
Shearman & Sterling LLP
The Division of Swap Dealer and Intermediary Oversight of the CFTC issued an exemptive letter harmonizing certain restrictions on the marketing of commodity pools with recent SEC rulemaking.
Ropes & Gray LLP
The proposed rules issued by the Regulators are substantially similar to each other and to comparable requirements that have been proposed in the European Union.
Blank Rome LLP
New York's Appellate Division ruled that a mortgagee's conduct in evaluating a borrower's loan modification application should be judged using the "totality of the circumstances" standard.
Venable LLP
The Consumer Financial Protection Bureau recently announced its plans to subject many nonbank automobile financing companies to its supervisory authority.
Fox Rothschild LLP
Earlier this year, the U.S. Army Corps of Engineers expressed an interest in utilizing public-private partnerships for improving the nation’s water infrastructure.
Cadwalader, Wickersham & Taft LLP
FERC issued statements explaining a 2-2 deadlock over whether to accept rates resulting from ISO New England Inc.’s most recent capacity auction as just and reasonable.
Cadwalader, Wickersham & Taft LLP
The CFTC vote comes two weeks after the Prudential Regulators voted to re-propose analogous rules for swap dealers and major swap participants under their jurisdiction.
The SEC adopted a number of new rules and amendments designed to improve the quality of credit ratings and increase credit rating agency accountability.
Venable LLP
The DOJ will continue its aggressive prosecution of claims arising out of the financial crisis and called for enhanced financial fraud whistleblower awards.
On August 27, 2014, the Securities and Exchange Commission unanimously voted to adopt a package of new and amended rules governing the registration, offering process, disclosure and reporting for SEC registered asset-backed securities.
On September 10, the OCC published proposed revisions to its information collecting regulations related to the Dodd-Frank Act’s "stress test" for large national banks.
Dentons (US)
The US Consumer Financial Protection Bureau (CFPB) continues its efforts to expand its supervisory authority.
Morrison & Foerster LLP
A divided SEC adopted rules to require floating net asset values for institutional money market funds and give them the discretion to impose liquidity fees and gates.
A series of articles considering the legacy of the collapse of Lehman Brothers on the financial industry across Europe and on the development of legal principles.
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Hughes Hubbard & Reed LLP
The SEC has adopted amendments to Rule 506 under the Securities Act of 1933 that permit general solicitation and general advertising in securities offerings under this exemption from securities registration provided all purchasers are accredited investors.
Butler Snow LLP
Among the amendments to the ability-to-repay/qualified mortgage rule issued by the CFPB on July 10 were changes to the detailed requirements in new Appendix Q.
Mayer Brown
The Final Rule requires Covered Companies to maintain unencumbered high quality liquid assets to meet 100%of their projected cash outflows over a stressed 30-day period.
Jones Day
As in 2012, banking and financial services companies were conspicuously absent from the Top 10 List of public-company bankruptcy filings for 2013.
Shearman & Sterling LLP
The credit valuation adjustment charge in Basel III appears, at first glance, to be the preserve of quantitative analysts and the like.
Reed Smith
Overseas Shipping Group ("Overseas") recently sued its former attorneys, a prominent New York-based law firm, for legal malpractice in drafting credit agreements that resulted in the company incurring an estimated $463 million in tax liability.
Reed Smith
We all know that liquids are both good and bad. We are supposed to drink on average eight glasses of water a day for good health.
FinCEN issued proposed regulations that would formalize certain financial institutions’ Customer Due Diligence requirements.
Carter Ledyard & Milburn
Broker-dealers using social media for business purposes face new scrutiny from FINRA, which has issued two detailed Regulatory Notices and a new rule on electronic communications with the public.
Holland & Knight
August was a busy month for the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN).
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