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1
Volcker Rule Revisions Adopted By Agencies - August 29, 2019
The US federal banking and functional regulators ("Agencies")1 have finalized revisions to the proprietary trading and compliance program provisions of the Volcker Rule (the "2019 Revisions").2
United States
3 Sep 2019
2
Federal Reserve Proposes Significant Revisions To Regulatory Control Rules
On April 23, 2019, the Board of Governors of the Federal Reserve System (the "Board") approved a long-awaited proposal (the "Control Proposal" or "Proposal") to revise its rules for determining
United States
17 May 2019
3
Federal Reserve Issues Tailoring Proposals For Foreign Banking Organizations And Resolution Planning Requirements
On April 8, 2019, the Board of Governors of the Federal Reserve System ("FRB") issued proposals to tailor (i) the enhanced prudential standards that apply to larger foreign banking organizations
United States
6 May 2019
4
States Begin Adopting Insurance Cybersecurity Requirements
Bylined article by Insurance Regulatory partner Lawrence Hamilton (Chicago), Financial Services Regulatory & Enforcement partners Jeffrey Taft and Matthew Bisanz (both Washington, DC).
United States
25 Apr 2019
5
Digital And Digitized Assets: Federal And State Jurisdictional Issues
This White Paper was prepared by members of the Jurisdiction Working Group of the IDPPS and their colleagues, who generously contributed substantial time and effort to this ambitious undertaking.
United States
9 Apr 2019
6
National Futures Association Adopts Notification Requirement For Certain Cybersecurity Incidents
On January 7, 2019, the National Futures Association ("NFA") announced that it had adopted amendments to its information security requirements that include a cybersecurity incident
United States
24 Jan 2019
7
NASAA Proposes Investment Adviser Model Cybersecurity Rule
On September 23, 2018, the North American Securities Administrators Association, Inc. ("NASAA") ...
United States
9 Jan 2019
8
FinCEN Adds Virtual Currency To High-End Real Estate Reporting Regime
A perfect storm for AML risk can arise from (i) the use of legal entities to conceal ownership, (ii) the limited application of AML requirements to real estate transactions and (iii) the misuse of virtual currency...
United States
23 Nov 2018
9
CFTC Permanently Sets The Swap Dealer De Minimis Threshold At $8 Billion And Determines Not To Adopt Other Proposed Changes
On November 5, 2018, the US Commodity Futures Trading Commission ("CFTC") finalized an amendment to the de minimis exception within the swap dealer ("SD") definition ("SD Threshold Amendment").
United States
22 Nov 2018
10
US Banking Agencies Propose Changes To Calculation Of Derivative Contract Exposures Under Regulatory Capital Rules
A perennial challenge in the prudential regulation of banks' derivatives activities has been the development of uniform, administrable, yet adequately risk-sensitive standardized methods for calculating derivatives exposures for use in prudential ratios.
United States
15 Nov 2018
11
Court Finds That Virtual Currency Is A Commodity—For The Time Being
On September 26, 2018, a US federal court found that virtual currency constitutes a class of items that are commodities under the Commodity Exchange Act
United States
12 Nov 2018
12
5 Considerations For General Counsels Regarding The New York Cybersecurity Regulations
The cybersecurity regulation ("CyberRegs") adopted by the New York State Department of Financial Services ("NYDFS")
United States
6 Nov 2018
13
SEC Brings First Enforcement Action Under The Identity Theft Red Flags Rule
On September 26, 2018, the US Securities and Exchange Commission ("SEC") brought and settled charges against a registered broker-dealer/investment adviser (the "Registrant") for allegedly violating...
United States
25 Oct 2018
14
Cybersecurity And Data Privacy: Navigating A Constantly Changing Landscape
The cybersecurity and data privacy landscape continues to change, creating significant new risks for businesses across economic sectors.
United States
28 Sep 2018
15
If Only: US Treasury Department Report Creates A Wish Tree Of Financial Reform For Fintech
Regardless of whether its recommendations are achievable in whole or in part or merely aspirational, the US Department of Treasury's ("Treasury") report issued on July 30, 2018...
United States
10 Sep 2018
16
Commodity Futures Trading Commission Issues Advisory For Virtual Currency Pump-And-Dump Schemes
The purpose of this paper is to explain innocent actors in the virtual currency space (e.g. virtual currency exchanges, financial institutions, social media platforms) and how to avoid potential exposure...
United States
24 Aug 2018
17
Federal Reserve Adopts Single-Counterparty Credit Limits
On June 14, 2018, the Board of Governors of the Federal Reserve System ("Federal Reserve") finalized single-counterparty credit limits ("SCCLs") for US and non-US banking organizations ...
United States
9 Jul 2018
18
Volcker Rule Revisions Proposed By Agencies
The Board of Governors of the Federal Reserve System ("Federal Reserve"), the Federal Deposit Insurance Corporation ("FDIC"), the Office of the Comptroller of the Currency ("OCC") ...
United States
6 Jun 2018
19
Federal Court Dismisses "Speculative" And "Attenuated" Lawsuit By The Conference Of State Bank Supervisors Over Proposed OCC Fintech Charter
On Monday, a federal district court judge in the District of Columbia issued an order dismissing a lawsuit brought by the CSBS regarding a proposal of the OCC to issue federal charters to certain Fintech firms.
United States
4 May 2018
20
Mayer Brown Addresses The ABA 2018 Business Law Section Spring Meeting; Orlando
The ABA Business Law Section is holding its 2018 Spring Meeting in Orlando next week and will offer nearly 90 CLE programs and many more committee meetings and events.
United States
5 Apr 2018
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