Mondaq USA: Finance and Banking
Cadwalader, Wickersham & Taft LLP
Regulation (EU) No 648/2012 ("EMIR")1 imposed a range of obligations which can apply to counterparties trading in derivatives, including a clearing obligation, risk mitigation obligations
Ropes & Gray LLP
On May 14, 2019, the Joint Audit Committee (the "JAC"), a representative committee consisting of U.S.
Reed Smith
On June 5, 2019, a FINRA panel handed down its first enforcement action against a funding portal.
Cadwalader, Wickersham & Taft LLP
In a comment letter, SIFMA supported the concept of a FINRA-proposed pilot program for delaying trade reporting of block trades in corporate bonds.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Dawn D. Stump emphasized the importance of using "common sense" on pressing issues before the agency.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Dan M. Berkovitz advised the CFTC to focus on (i) increasing competition in the derivatives markets and (ii)
Cadwalader, Wickersham & Taft LLP
CFTC Commissioners addressed the relationship between climate change and the global financial system.
Cadwalader, Wickersham & Taft LLP
Cadwalader attorneys analyzed recently adopted amendments to European counterparties trading derivatives obligations under the European Market Infrastructure Regulation ("EMIR Refit").
Cadwalader, Wickersham & Taft LLP
NFA adopted supervisory requirements and technical amendments concerning swap activities. The requirements are effective as of September 30, 2019.
Cadwalader, Wickersham & Taft LLP
Sixty-five Democratic representatives called on CFPB Director Kathy Kraninger to rescind a recent proposal that would reduce the amount of lending information collected under the Home Mortgage
Cadwalader, Wickersham & Taft LLP
On 7 June 2019, Regulation (EU) 2019/876 ("CRR II")[1] was published in the Official Journal of the EU.
Proskauer Rose LLP
Rule 105 of Regulation M may create more anxiety among compliance professionals in the hedge fund industry than any other SEC rule.
On May 29, Morningstar announced it had entered into a definitive agreement to acquire DBRS, the world's fourth largest credit ratings agency,
Holland & Knight
Whether there is a connection to the near end of another exciting National Basketball Association season is unknown, but in a recent ruling issued by the U.S. Court of Appeals for the Seventh Circuit
Morrison & Foerster LLP
UPREITs are a common operating structure for publicly traded equity REITs, and have both benefits and drawbacks.
Morrison & Foerster LLP
What do boards need to know about sustainability ratings? Silda Wall Spitzer and John Mandyck discuss in the Harvard Business Review.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $125,000 to settle FINRA charges for sending false asset valuations to customers in their consolidated reports
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board, Office of the Comptroller of the Currency and FDIC (collectively, the "agencies") final rule to modify the agencies' liquidity coverage ratio ("LCR")
Cadwalader, Wickersham & Taft LLP
ISDA, SIFMA, the Global Financial Markets Association and SIFMA AMG (collectively, the "associations") urged U.S. regulators to provide guidance on implementing Basel Committee on Banking Supervision
Cadwalader, Wickersham & Taft LLP
A broker-dealer settled FINRA charges related to reporting, recordkeeping and supervisory failures on inaccurate net capital and customer reserve calculations.
Latest Video
Most Popular Recent Articles
Morrison & Foerster LLP
On May 7, 2019, the Consumer Financial Protection Bureau (CFPB) issued proposed rules ("Proposed Rules") under the Fair Debt Collection Practices Act (FDCPA) and its authority under the Dodd-Frank Act
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code ง199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Arnold & Porter
As alerted in our previous Advisories, LIBOR, the "world's most important number," is being phased out.
Kramer Levin Naftalis & Frankel LLP
On April 10, 2019, the International Monetary Fund (IMF) held a press conference to discuss its semiannual Global Financial Stability Report (the GFSR)
Eisner Amper
The days of brand-name managers resting on the laurels of past performance are now going away. Many of these managers will need to reinvent themselves in the race for alpha.
Cadwalader, Wickersham & Taft LLP
ISDA initiated two new consultations related to amending certain floating rate options that reference interbank offered rates ("IBORs").
Lewis Brisbois Bisgaard & Smith LLP
In a surprise move a day before a scheduled "town hall" on debt collection, the Consumer Financial Protection Bureau (CFPB) released its long-awaited proposed debt collection rule.
Shearman & Sterling LLP
On behalf of Latham & Watkins, I would like to thank Global Legal Group for their efforts in publishing the 12th edition of The International Comparative Legal Guide to: Securitisation
Holland & Knight
The Internal Revenue Service (IRS) on May 22, 2019, issued much awaited guidance in Notice 2019-39. This Notice allows for refinancings or refundings by Native American tribal governments
Mayer Brown
As discussed in the previous part of this article, M&A transactions involving financial assets that are subject to securitization may require the consent of numerous third parties.
Article Search Using Filters
Related Topics
Mondaq Advice Center (MACs)
Popular Authors
Popular Contributors
Up-coming Events Search
Font Size:
Mondaq on Twitter
In association with