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Searching Content indexed under Financial Services by Jeffrey Taft ordered by Published Date Descending.
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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
FDIC Proposes Changes To Securitization Safe Harbor Rule
Many banks have not made the investments in their systems to be able to provide asset-level data under the Reg AB requirements.
United States
29 Jul 2019
3
Minnesota Issues Guidance On Definition Of "Sales Finance Company" For Licensing Purposes
Minnesota Statute § 53C.02 prohibits a person from engaging in the business of a "sales finance company" within the State of Minnesota without a motor vehicle
United States
17 Jun 2019
4
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
5
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
6
House Takes First Step To Open Banking For Cannabis Companies
Legalization of certain cannabis-related activities by over 30 states has led to a surge in companies that grow and produce cannabis and related products.
United States
17 Apr 2019
7
US Federal Trade Commission Proposes Prescriptive Data Security Requirements And Other Updates To Its Gramm-Leach-Bliley Act Regulations
On March 5, 2019, the Federal Trade Commission (the "FTC" or the "Commission") proposed a number of revisions to its Gramm-Leach-Bliley Act1 ("GLBA") regulations.
United States
3 Apr 2019
8
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
9
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
10
California Enacts TILA-Like Requirements For Business-Purpose Loans
New California legislation will impose disclosure requirements, similar to those under the federal Truth in Lending Act, on commercial-purpose loans of $500,000 or less, including arrangements...
United States
10 Oct 2018
11
TILA For Business Loans And Purchases Of Receivables? Factors, MCAs, Fintechs And Commercial Lenders Subject To New CA TILA-Like Disclosure Rules
California enacts a first-of-its-kind legislation imposing disclosure requirements on commercial purpose loans similar ...
United States
9 Oct 2018
12
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
13
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
14
Vision 2020 and NMLS 2.0 Focus on the Future of Fintech
Last week was busy for the financial technology industry (Fintechs) and non-bank regulators.
United States
19 May 2017
15
Controversial Changes To New York's Licensed Lender Law Dropped From Latest Version Of Budget Bills*
Financial services providers, marketplace lenders and secondary market purchasers doing business in the state of New York can breathe at least a temporary sigh of relief this week.
United States
20 Mar 2017
16
Sharpening Your Staff - Four Steps To Improve Cybersecurity Through Training And Testing
Although financial institutions have developed written information security and incident response plans to help mitigate their cybersecurity risk, implementing certain aspects of these plans remains a work in progress.
United States
14 Oct 2016
17
CFPB And Prudential Regulators Issue Guidance On Deposit Reconciliation Practices
The guidance does not impose any new requirements, but reminds institutions of the expectation that they implement policies and procedures to protect customers where there is a credit discrepancy.
United States
23 May 2016
18
Federal Reserve Re-Proposes Single-Counterparty Credit Limits For US And Non-US Banking Organizations
On March 5, 2016, the Board of Governors of the US Federal Reserve System (Federal Reserve) re-proposed a rule, originally proposed in 2011, that would implement the single-counterparty credit limits (SCCL) contained in section 165(e) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) (SCCL Proposal).
United States
4 Apr 2016
19
US FDIC And SEC Propose Rules To Govern The Orderly Liquidation Of Covered Broker-Dealers Under Title II Of The Dodd-Frank Act
On February 17, 2016, FDIC and the SEC jointly proposed a rule to supplement the statutory provisions of Title II of the Dodd-Frank Act that govern the orderly liquidation of a "covered broker or dealer".
United States
11 Mar 2016
20
US Consumer Financial Protection Bureau Brings First Data Security Enforcement Action
On March 2, 2016, the Consumer Financial Protection Bureau (Bureau) undertook its first data security enforcement action in a consent order against Dwolla, Inc.
United States
9 Mar 2016
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