Mondaq USA: Finance and Banking
Orrick
An impact assessment and executive summary were published alongside the Delegated Regulation.
Orrick
On June 8, 2017, the European Commission published a communication on the mid-term review of the capital markets union ("CMU") action plan (COM(2017) 292).
Morrison & Foerster LLP
As required by the President's Executive Order 13772 setting forth the core principles that should be taken into account in connection with the regulation of the U.S. financial system, ...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines and expiration dates.
Cadwalader, Wickersham & Taft LLP
FINRA filed a proposed rule change relating to the implementation date of rules requiring firms to use two new trade modifiers when reporting transactions in U.S. Treasury Securities to FINRA via the TRACE.
Cadwalader, Wickersham & Taft LLP
In a recent memorandum, Cadwalader attorneys Jason Halper, Jodi Avergun, Joe Moreno, Lex Urban, Kendra Wharton and Aaron Buchman posited that the "Financial CHOICE Act of 2017"...
Cadwalader, Wickersham & Taft LLP
On June 8, 2017, the House of Representatives passed the "Financial CHOICE Act of 2017" (H.R. 10) (the "CHOICE Act").
Morrison & Foerster LLP
On June 8, 2017, the CFPB held a Consumer Advisory Board meeting, at which CFPB Director Richard Cordray discussed deferred-interest products.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight granted relief from the annual report filing requirement for commodity pool operators ("CPOs") of certain pools that operate...
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Clearing and Risk (the "Division") granted no-action relief to CME Clearing Europe Limited ("CMECE"), which is in the process of being wound down by its parent CME...
Cadwalader, Wickersham & Taft LLP
FINRA's Office of the Chief Economist published a research note authored by two staff members that examined the liquidity of securitized assets over the course of the last several years.
Cadwalader, Wickersham & Taft LLP
The MFA also praised the CFTC's Project KISS (Keep It Simple, Stupid) initiative and expressed support for measures aimed at streamlining processes and modernizing regulations.
Thompson Coburn LLP
On Thurs., June 1, the Justice Department entered into a plea agreement with a trader named David Liew, publicly revealing the existence of the third-ever criminal spoofing case, which had been filed under seal on Jan. 3.
Morrison & Foerster LLP
The FAQs also confirm the 2013 Bulletin definition of "critical activities" and the OCC's expectation that banks have more comprehensive and rigorous management of third-party relationships...
Morrison & Foerster LLP
On June 8, 2017, the House passed H.R. 10, the Financial "CHOICE" Act with a vote of 233 to 186.
Troutman Sanders LLP
In July of 2016, the Consumer Financial Protection Bureau released an outline of new rules targeting third-party debt-collection operations.
Morrison & Foerster LLP
On June 8, 2017, the Financial CHOICE Act of 2017 (the "CHOICE Act") was passed on a party line vote by the U.S. House of Representatives.
Butler Snow LLP
Mid-south Regulatory Compliance Group Quarterly Report Vol. 14 No. 2
Cadwalader, Wickersham & Taft LLP
CFTC Acting Chair J. Christopher Giancarlo defended the Commission's 2018 Budget Request in testimony before the U.S. House of Representatives Committee on Appropriations Subcommittee on Agriculture...
Gibbs Giden Locher Turner Senet & Wittbrodt LLP
What should you do when you receive a check from a customer for an amount less than your total claim, but the check is marked with a "payment in full" or similar restrictive notation?
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Wilson Elser Moskowitz Edelman & Dicker LLP
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On April 25, 2017, the U.S. District Court for the Northern District of Illinois issued an order denying the plaintiffs' motion to compel Calamos Investment Trust, a Massachusetts business trust,...
Jones Day
The European Commission has launched a tender offer to conduct a comprehensive assessment of the competitive aspects of the EU market for syndicated loans.
Arnold & Porter Kaye Scholer LLP
As part of their diversified investment programs, many family offices invest in private alternative investment funds, which may include real estate funds, hedge funds, private equity funds...
Pryor Cashman LLP
In a recent article for the New York Law Journal, Partner Jeffrey Alberts and Associate Dustin Nofziger examined how federal regulations concerning confidential supervisory information can interfere...
Morrison & Foerster LLP
On 4th May 2017, the European Commission announced its proposals to amend the current European Market Infrastructure Regulation (Reg. No. 648/2012) ("EMIR").
Reed Smith
On May 17, 2017, Commodity Futures Trading Commission ("CFTC") Acting Chairman J. Christopher Giancarlo announced an "important step forward" in bringing the CFTC's regulations into the "digital world of the 21st century."
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