Searching Content indexed under Capital Adequacy/BASEL by Goodwin Procter LLP ordered by Published Date Descending.
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A Summary Of Proposed Qualified Mortgage, Qualified Residential Mortgage And BASEL III Category I Mortgage Requirements (Financial Services Alert For November 27, 2012)
Early versions of the Dodd-Frank Act contained provisions that would have obligated lenders to offer consumers "plain vanilla" mortgage loans with limited terms and features.
United States
28 Nov 2012
Basel III Implications For Residential Mortgage Lending (Financial Services Alert, September 25, 2012)
The proposed Basel III Standardized Approach for calculating risk-weighted assets, significantly modifies the capital treatment of residential mortgages.
United States
26 Sep 2012
CFPB Names Assistant Director Of The Office Of Financial Empowerment
The CFPB named Cliff Rosenthal as the Assistant Director of the Office of Financial Empowerment.
United States
9 Jun 2012
CFPB Issues Proposed Rule On Supervision Of Nonbanks
The CFPB proposed a rule that establishes procedures under which it may supervise a nonbank.
United States
9 Jun 2012
CFPB Focusing On Prepaid Products
In advance of its Prepaid Card Field Hearing, held on May 23, 2012, in Durham, N.C., the CFPB published an advanced notice of proposed rulemaking for prepaid products.
United States
9 Jun 2012
FINRA Issues Further Guidance On Suitability Rule (Financial Services Alert - June 5, 2012)
FINRA has published Regulatory Notice 12-25 providing additional guidance (the "Guidance") on FINRA’s customer suitability rule (FINRA Rule 2111 (the "Rule").
United States
6 Jun 2012
Federal Banking Agencies Clarify Supervisory Expectations For Stress Testing By Community Banks
The FRB, FDIC and OCC issued a Joint Statement providing guidance as to their supervisory expectations.
United States
30 May 2012
Federal Judge Certifies Class Action In Overdraft Fees Litigation
The United States District Court for the Southern District of Florida certified a class action lawsuit alleging that defendants engaged in a systematic scheme to manipulate and re-order debit card transactions to increase the number of overdraft fees imposed on its customers.
United States
25 May 2012
Federal Banking Regulators Issue Final Guidance on Bank Stress Testing Framework for Large Banks (Financial Services Alert - May 22, 2012)
The FRB, FDIC and the OCC (collectively, the "Agencies") released final guidance (the "Final Guidance") on stress testing for banking organizations with more than $10 billion in assets. The Final Guidance is substantially similar to the proposed version of the guidance circulated for comment by the Agencies in June 2011.
United States
23 May 2012
SEC Reopens Comment Period For Proposed Amendments To Its Financial Responsibility Rules For Broker-Dealers (Financial Services Alert - May 15, 2012)
Goodwin Procter's Trusts & Estate Planning Practice issued an Alert discussing how the administration of trusts is affected by the Massachusetts Uniform Probate Code.
United States
17 May 2012
Financial Services Alert – April 3, 2012
The FDIC, FRB and OCC (collectively, the "Agencies") jointly released proposed revisions to the Agencies’ leveraged finance guidance issued in 2001.
United States
4 Apr 2012
SEC And CFTC Propose Rules To Address FCRA Requirements Regarding Identity Theft Programs And Credit Card Changes Of Address
The SEC and CFTC (the "Commissions") jointly issued proposed rules that would (a) require financial institutions and creditors subject to a Commission’s jurisdiction to develop and implement a written identity theft prevention program addressing identity theft in connection with certain existing accounts or the opening of new accounts and (b) establish special requirements under which a credit or debit card issuer subject to a Commission’s jurisdiction would have to assess the validity of change
United States
28 Mar 2012
Financial Services Alert – March 27, 2012
A bipartisan group of Senators has introduced legislation that, if it becomes law, would delay the effectiveness of the Volcker rule until 12 months following the issuance by the FRB, the OCC, the FDIC, the SEC and the CFTC (collectively, the "Agencies") of final rules to carry out the Volcker rule.
United States
28 Mar 2012
Financial Services Alert – March 20, 2012
FINRA filed with the SEC proposed amendments to NASD Rule 1012 and NASD Rule 1017 (the "Amendments") to adopt new standardized electronic Form CMA ("Form CMA").
United States
21 Mar 2012
Financial Services Alert – March 13, 2012
On February 23, 2012, the CFTC approved a final rule (the "final rule") pertaining primarily to the responsibilities and conduct of swap dealers and major swap participants.
United States
14 Mar 2012
White House Issues Consumer Privacy Bill Of Rights
The White House released a white paper, Consumer Data Privacy In a Networked World: A Framework for Protecting Privacy and Promoting Innovation in the Global Digital Economy, to fill what it sees as two gaps in the current United States consumer data privacy framework – a clear statement of basic privacy principles and a continued commitment to address consumer privacy issues as technology changes.
United States
13 Mar 2012
Financial Services Alert – February 7, 2012 (Issues During The Most Recent Quarter)
The Department of Labor issued a final regulation (the "Final Regulation") under Section 408(b)(2) of the Employee Retirement Income Security Act of 1974, as amended ("ERISA"), setting forth required fee disclosures by service providers to ERISA-governed plans.
United States
8 Feb 2012
Financial Services Alert – January 17, 2012
The staff of the Division of Investment Management (the "Staff") issued a no-action letter stating that it would not recommend enforcement action for violations of Section 10(f) of the Investment Company Act of 1940, as amended (the "1940 Act"), against certain registered investment companies (each a "Fund" and collectively, the "Funds") if they purchase certain loan assignments and participations (each a "Participation" and collectively, the "Participations") in a primary offering, when a Fund
United States
18 Jan 2012
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