Mondaq USA: Finance and Banking
Shearman & Sterling LLP
On December 14, 2016, the EBA published its final Report on the design and implementation of the minimum requirement for own funds and eligible liabilities framework.
Shearman & Sterling LLP
On December 14, 2016, the EBA published final draft RTS on the cooperation and exchange of information between national regulators where an authorized payment institution...
Kramer Levin Naftalis & Frankel LLP
New Public Alternative Funds - 2 February, 2017
Kramer Levin Naftalis & Frankel LLP
Context Asset Management debuted the Context Strategic Global Equity Fund, the liquid alternative specialist firm's second alternative mutual fund.
Kramer Levin Naftalis & Frankel LLP
Day Hagan Hedged Strategy Fund
Thompson Coburn LLP
As is widely known, the growing cannabis industry remains subject to disparate state and federal legal limitations and, consequently, is an industry with many challenges to market entry and expansion.
Shearman & Sterling LLP
In early December, the FERC denied requests for rehearing of its March 11, 2016 Order denying the applications of Jordan Cove Energy Project, L.P. ("Jordan Cove") to site.
Shearman & Sterling LLP
On January 19, 2017, the CFTC announced that Division of Enforcement Director Aitan Goelman will leave the agency on February 3, 2017.
Shearman & Sterling LLP
On December 12, 2016, the Federal Reserve appointed Andreas Lehnert as director of its Division of Financial Stability, effective December 25, 2016.
Shearman & Sterling LLP
On January 20, 2017, the CFTC designated Commissioner J. Christopher Giancarlo per seriatim as Acting Chairman of the agency.
Cadwalader, Wickersham & Taft LLP
The Cabinet Center for Administrative Transition ("CCAT") is Cadwalader's newest curated repository of pronouncements, policies and proposals for legislative and regulatory changes that reflect the financial services...
Troutman Sanders LLP
The Office of the Comptroller of the Currency's National Risk Committee, which is tasked with monitoring the overall condition of the federal banking system and any emerging threats...
Mayer Brown
The Consumer Financial Protection Bureau ("CFPB") announced a Request for Information ("RFI") about alternative data on February 16, 2017, seeking insights into the benefits and risks of using unconventional financial data in assessing a consumer's creditworthiness.
Shearman & Sterling LLP
On December 16, 2016, the FSB published a consultative paper containing draft Guiding Principles on the internal total loss-absorbing capacity or Internal TLAC of global systemically important banks.
Shearman & Sterling LLP
On December 16, 2016, the FSB launched a consultation on proposed Guidance on continuity of access to financial market infrastructures for a firm in resolution.
Shearman & Sterling LLP
On December 13, 2016, the US Federal Reserve Board and the FDIC announced that Bank of America, Bank of New York Mellon, JP Morgan Chase and State Street had adequately remedied all deficiencies...
The Securities and Exchange Commission recently announced that ten investment advisory firms agreed to pay penalties in the tens of thousands of dollars to settle SEC charges...
Ropes & Gray LLP
On February 6, 2017, the Division of Market Oversight of the U.S. Commodity Futures Trading Commission (the "CFTC") issued temporary no-action relief from the notice filing requirements...
In 2016, three of FinCEN's six enforcement actions were brought against companies in the gaming industry.
Shearman & Sterling LLP
Direct lenders were virtually non-existent in Europe in 2005.
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Arnold & Porter Kaye Scholer LLP
The new Administration and Congress are pursuing a multi-pronged approach to regulatory relief for financial services firms, with stated goals of reducing administrative burdens and complexity as a means to spur economic growth.
Milbank, Tweed, Hadley & McCloy LLP
As has been the case now for three years running1, 2016's December 20 roll date again triggered a set of novel questions for the credit default swap market...
Holland & Knight
The Export-Import Bank of the United States has been embroiled in a considerable amount of political controversy in recent years.
Arnold & Porter Kaye Scholer LLP
Recent agency guidance, rulemakings, and enforcement actions—all issued prior to the change in administrations—demonstrate the financial regulatory agencies' commitment to enforcing the Bank Secrecy Act...
Blockchain and distributed ledger technology ("DLT") applications outside of the bitcoin context are attracting the attention of financial entities, prompting regulators to become increasingly focused on these...
In 2016, the CFTC continued to pursue high-profile enforcement cases and to test its new enforcement authority under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).
Troutman Sanders LLP
On January 4, a defendant in a Fair Debt Collections Practices Act case moved for sanctions against the Consumer Financial Protection Bureau...
Proskauer Rose LLP
On December 27, 2016, the Treasury Department (Treasury) and Internal Revenue Service (IRS) released final regulations regarding the determination of ownership of a passive foreign investment company ("PFIC") and regarding certain exceptions to the annual PFIC reporting requirements (the "PFIC Regulations").
Cadwalader, Wickersham & Taft LLP
CNCGC Hong Kong Ltd. ("CNCGC HK"), an investment and trading company, agreed to pay a $150,000 civil monetary penalty to settle CFTC charges alleging violations of Form 304 reporting requirements.
Morgan Lewis
DOL releases additional guidance on fiduciary rule in the waning days of the Obama administration.
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