Mondaq USA: Finance and Banking
Shearman & Sterling LLP
It is intended that the policy measures will be developed once the methodologies are finalized. Comments should be submitted by May 29, 2015.
Shearman & Sterling LLP
On March 9, 2015, the EBA published a consultation paper on draft Regulatory Technical Standards and Guidelines on business reorganization plans under the Bank Recovery and Resolution Directive.
Shearman & Sterling LLP
On March 6, 2015, the EBA launched a consultation on proposed RTS on the detailed records of financial contracts that banks and relevant investment firms will need to maintain.
Shearman & Sterling LLP
The technical advice will assist the European Commission to prepare secondary legislation on these issues that are required under the Banking Recovery and Resolution Directive.
Orrick
The results of a study into the impact of EU regulation in the wake of the financial crisis have been published.
Shearman & Sterling LLP
On March 4, 2015, the EBA launched a public consultation on its guidelines on sound remuneration policies.
Orrick
This alert focuses on the European Market Infrastructure Regulation (or "EMIR" as it is better known) which was introduced as the equivalent of the Dodd-Frank Act of 2010, to address a wide range of issues...
Shearman & Sterling LLP
On February 27, 2015, the EBA launched a consultation on proposed draft RTS on the prudential requirements for central securities depositories.
Shearman & Sterling LLP
On March 4, 2015, the EU General Court delivered its judgment on the UK Government’s challenge of the European Central Bank’s CCP location policy set out in the ECB’s Eurosystem Oversight Policy Framework.
Butler Snow LLP
What happens when a debt buyer sends a letter to a debtor offering to "settle" a debt—one whose statute of limitations has run?
Troutman Sanders LLP
The Consumer Financial Protection Bureau ("CFPB") recently prevailed on a motion for preliminary injunction against a Florida law firm and several related companies...
Nutter McClennen & Fish LLP
The Nutter Bank Report is a monthly electronic publication of the firm’s Banking and Financial Services Group and contains regulatory and legal updates with expert commentary from our banking attorneys.
Foley & Lardner
According to recent statements by David Grim, acting director of the SEC’s Division of Investment Management, the SEC is working on several proposed rules that would affect registered investment advisers (RIAs).
Ropes & Gray LLP
In 2014, the SEC and FINRA separately conducted sweep exams to increase their understanding of the cybersecurity threats faced by investment advisers and broker-dealers.
Venable LLP
Over the past year and a half, Congress has been at odds with the Obama Administration's Operation Choke Point.
Reinhart Boerner Van Deuren S.C.
Lenders to farmers should be aware of an additional tool that can be used to protect their security interests in farm products produced by their borrowers.
WilmerHale
In the wake of the broad new enforcement authority provided to the Commodity Futures Trading Commission ("CFTC" or "Commission") in the Dodd-Frank Reform and Consumer Protection Act ("Dodd-Frank"), ..
WilmerHale
As an industry, the financial sector outpaces other economic sectors in cybersecurity preparedness.
Fox Rothschild LLP
In a recent Acceptance, Waiver and Consent ("AWC") a broker dealer was censured and fined for, among other things, the failure to conduct an adequate pre-hire investigation of a registered representative.
Duane Morris LLP
As the result of a recent series of proposed new and amended rules and regulations, firms whose business is proprietary trading in the financial markets may become subject to an entirely new substantive regulatory landscape.
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Reed Smith
On January 1, 2015, the final Basel III rules regarding regulatory capital for banks with greater than $500 million in assets and all savings and loan holding companies took effect.
BakerHostetler
FinCEN’s announcement discussed three examples of money-laundering activity that the bank allegedly facilitated.
Reed Smith
On March 9, District Judge Sarah Evans Barker issued her long-anticipated order on the motion to dismiss in CFPB v. ITT Educational Services, Inc., No. 1:14-cv-00292 (S.D. Ind.).
Greenberg Traurig
On Dec. 17, 2014, Florida's Third District Court of Appeal (Third District) issued its opinion in Deutsche Bank Trust Company Americas v. Beauvais...
Orrick
"...just to give you an idea of the actual impact of Lehman Brothers, we can consider the figures published by one of the Lehman's counterparties: Merrill Lynch, which in the third quarter of 2008 disclosed a US$2 billion pre-tax trading loss, which was mainly due to the unwinding of trades for which Lehman Brothers was a counterparty.
Reed Smith
On March 10, 2015, the U.S. Department of Justice ("DOJ") announced a $4.9 million settlement of criminal and civil charges against CommerceWest Bank ("CommerceWest" or the "Bank") brought pursuant to the Bank Secrecy Act ("BSA"), the Financial Institutions Reform, Recovery and Enforcement Act ("FIRREA"), and the Fraud Injunction Statute.
Troutman Sanders LLP
Several attorneys from Troutman Sanders attended this week’s meeting of the National Association of Attorneys General in Washington, during which Richard Cordray,
Blank Rome LLP
Benjamin Lawsky, the Superintendent of Financial Services for New York State, is seeking to increase regulatory pressures on the financial services industry, beyond the measures imposed by federal regulators.
Dentons (US)
Syndication continues to grow in popularity among lenders. Here, the authors explain the significant legal issues surrounding such transactions.
Venable LLP
On February 12, 2015, the CFPB took action against three mortgage companies for allegedly misleading consumers with advertisements implying U.S. government approval of their products.
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