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Searching Content indexed under Financial Services by Matthew Bisanz 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
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
3
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
4
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
5
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
6
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
7
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
8
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
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
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
11
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
12
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
13
US Bank Regulators Propose "Net Stable Funding Ratio" Rule To Enhance Financial System Resiliency
The Federal Deposit Insurance Corporation (FDIC), Office of the Comptroller of the Currency (OCC), and Board of Governors of the Federal Reserve System...
United States
11 May 2016
14
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
15
New York Department Of Financial Services And Governor Cuomo Announce New Anti-Money Laundering Regulations
On December 1, 2015, New York signaled that it will continue to pursue this separate path, when Governor Andrew Cuomo proposed a new AML regulation to address terrorist financing, sanctions violations and money laundering activities.
United States
24 Dec 2015
16
Information Technology Examination Handbook For U.S. Financial Institutions Updated
The members of the Federal Financial Institutions Examination Council ("FFIEC") have released an update to the Management section of the Information Technology Examination Handbook.
United States
1 Dec 2015
17
US Department of Justice Brings Its First Criminal Prosecution for Spoofing of Commodities Markets
A Chicago federal grand jury has indicted Michael Coscia, formerly a registered floor trader and sole owner of Panther Energy Trading LLC, for allegedly violating the anti-spoofing provision of the Commodity Exchange Act ..
United States
15 Oct 2014
18
Presumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Private Party Whistleblower Retaliation Cases
The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 ("Exchange Act").
United States
26 Aug 2014
19
New York State Department Of Financial Services Proposes A "BitLicense" Regulatory Framework For Virtual Currency Businesses
The New York State Department of Financial Services has released a proposed regulatory framework for New York virtual currency businesses.
United States
7 Aug 2014
20
US Securities and Exchange Commission Settles Its First Whistleblower
The US Securities and Exchange Commission (SEC or the Commission) has announced a $2.2 million settlement in the Commission's first whistleblower anti-retaliation case.
United States
30 Jun 2014
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