Mondaq USA: Finance and Banking
Shearman & Sterling LLP
On January 9, 2014, Alex Hope was found guilty of fraud for operating an investment scheme without authorization. Mr Hope claimed to be making large returns for investors by trading their money on the foreign exchange market.
Shearman & Sterling LLP
ESMA issued a report on its involvement with the supervisory colleges established under the European Market Infrastructure Regulation ("EMIR") for the authorization and supervision of EU-based central counterparties.
Shearman & Sterling LLP
On January 5, 2015, three Delegated Regulations of Regulatory Technical Standards required under the Credit Ratings Agencies Regulation were published in the Official Journal of the European Union...
Shearman & Sterling LLP
The final draft RTS and guidelines form part of the EBA's aim for a consistent approach to bank resolution across the EU.
Shearman & Sterling LLP
On December 19, 2014, the EBA issued a consultation paper which includes draft RTS on procedures, notifications and notices of suspension under the BRRD.
Shearman & Sterling LLP
On December 18, 2014, the EBA issued a consultation paper on draft RTS on resolution colleges under the Bank Recovery and Resolution Directive.
Shearman & Sterling LLP
On December 23, 2014, the ESAs issued a discussion paper on the use of credit ratings by financial intermediaries.
Shearman & Sterling LLP
On December 23, 2014, ESMA published a discussion paper on share classes of Undertakings for Collective Investment in Transferable Securities.
Orrick
On January 7, Fitch revised its criteria for rating U.S. Public Finance Short-Term Debt.
BakerHostetler
"Ben" Pu and Sahil "Sonny" Uppal were sentenced today for stealing trade secrets related to high-frequency trading platforms from Chicago-based hedge fund Citadel.
Orrick
On January 12, DBRS released its methodology for operational risk assessment for European structured finance servicers.
Troutman Sanders LLP
On January 7, 2015, Genesis Healthcare became one of the most recent companies to face a class action lawsuit under the FCRA based on its background check practices.
Venable LLP
On January 6, 2015, the Financial Industry Regulatory Authority (FINRA) released its 2015 Regulatory and Examinations Priorities Letter.
Thompson Coburn LLP
This post is part of a continuing series on the Credit Report Blog on the subject of workouts and bankruptcies involving low-income housing tax credit (LIHTC) projects.
Blank Rome LLP
In advance of the 2015 effective dates, debt collectors that operate in New York should review their current policies and take necessary steps to comply with new state regulations that provide consumer protections beyond the Fair Debt Collection Practices Act.
Morgan Lewis
Although the MSRB’s new best execution rule is generally consistent with FINRA’s, differences exist and questions remain regarding FINRA’s examination and enforcement of the requirements.
Shearman & Sterling LLP
On December 30, 2014, the SEC introduced a pilot program intended to simplify investor analysis and comparisons of public company financial statement data.
Shearman & Sterling LLP
On January 5, 2015, the FDIC issued a list of state non-member banks which were evaluated for compliance with the Community Reinvestment Act ("CRA").
Ostrow Reisin Berk & Abrams
Financial advisors always warn inexperienced investors of the possibility of stock market volatility, yet when the going gets rough, some react irrationally and begin selling when they should not.
Reed Smith
The Commodity Futures Trading Commission recently ordered Summit Energy Services, Inc. to pay a $140,000 civil penalty to resolve allegations that it violated the Commodity Exchange Act.
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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.
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.
Troutman Sanders LLP
On Wednesday, December 3, 2014, New York Governor, Andrew Cuomo, announced new regulations aimed at "protect[ing] consumers against abusive and deceptive debt collection practices."
Venable LLP
The Financial Crimes Enforcement Network (FinCEN) fired a warning shot across the bow of every financial institution compliance officer.
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.
Venable LLP
FINRA found that Wells Fargo failed for a period of nine years to subject approximately 220,000 new accounts to identity verification.
Troutman Sanders LLP
On December 8, the Southern District of Indiana released a decision relating to the interplay between the Fair Debt Collection Practices Act and bankruptcy.
Butler Snow LLP
On May 29, 2013, the CFPB amended the Truth-in-Lending Act and Regulation Z to finalize a rule aimed at assisting small creditors in originating Qualified Mortgages with the highest level of protection for compliance with the Ability To Repay Rule.
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