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.
Orrick
ESMA published the translation of guidelines and recommendations on implementing the principles for financial market infrastructures.
Shearman & Sterling LLP
The text of the UCITS V Directive, which amends the Undertakings for Collective Investment in Transferable Securities Directive, was published on August 28, 2014.
Shearman & Sterling LLP
The guidelines, which apply to national regulators responsible for supervising complaints handling by firms, will come into force on October 25, 2014.
Shearman & Sterling LLP
The text of the EU Regulation was published, laying down implementing technical standards with regard to standard forms, templates and procedures for notifications.
Morrison & Foerster LLP
The European Market Infrastructure Regulation came into force, defining the obligations of in-scope entities with respect to OTC derivatives trades.
Reed Smith
The CFTC approved an important amendment to its Dodd-Frank Act rules for government-owned electric and natural gas utilities and their swap counterparties.
Foley Hoag LLP
An issuer relying on Rule 506(c) of Regulation D and resellers relying on Rule 144A may still rely on the exemptions for commodity pool operators.
Shearman & Sterling LLP
The Joint Forum intends to reconsider these issues in a year’s time.
Shearman & Sterling LLP
The guidelines set forth minimum standards for the institutions’ boards of directors to oversee the risk governance framework.
Pepper Hamilton LLP
The JOBS Act and the regulations thereunder applies to private issuers that want to make general solicitations within the context of their "private offerings."
Osborne & Osborne PA
The recent passing of Joan Rivers serves as a testimony to professional passion, perseverance and hard work.
WilmerHale
The CFTC requires each registered swap dealer to designate a chief compliance officer to carry out certain duties relating to swaps activities.
Shearman & Sterling LLP
The Federal Reserve Board, the FDIC, and the OCC finalized a rule to establish a standardized minimum liquidity requirement for large and internationally active banks.
Shearman & Sterling LLP
The Federal Reserve Board, FDIC, and the OCC adopted a final rule to adjust the definition of the denominator of the supplementary leverage ratio.
Shearman & Sterling LLP
Tthe Federal Reserve Board requested comment on proposed revisions to the "Interagency Questions and Answers Regarding Community Reinvestment".
Cadwalader, Wickersham & Taft LLP
On August 28, 2014, the CME submitted a notice of a rule adoption to the CFTC regarding new Rule 575 that will become effective September 15, 2014.
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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.
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.
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.
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.
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.
WilmerHale
FinCEN issued proposed regulations that would formalize certain financial institutions’ Customer Due Diligence requirements.
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.
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.
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.
Thompson Coburn LLP
A typical lender is often managing tens of thousands of accounts of all different types and in various states of financial health.
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