Searching Content indexed under Financial Services by Jones Day ordered by Published Date Descending.
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ESG – The Opportunities And The Risks
ESG—Environmental, Social, and Governance—investing is attracting the attention of pension funds, hedge funds, sell-side analysts, large money managers, lenders and banks, and political interest groups and activists, ...
United States
15 Nov 2019
CFTC Enforcement Priorities: Commodity Trading Advisory Services In Energy And Other Areas Under Scrutiny
Businesses that fail to register with the CFTC face the risk of enforcement action, including civil monetary penalties, restitution, disgorgement, and cease and desist orders.
United States
14 Nov 2019
Prudential Regulators Propose "Grab Bag" Of Relief From Non-Cleared Swap Margin Rules
The primary federal banking regulators have proposed wide-ranging changes to their non-cleared swap margin rules.
United States
4 Nov 2019
Financial Regulatory Leaders Highlight Anti-Money Laundering Issues With Digital Asset Transactions
Regulators highlight AML/CFT obligations of financial institutions when engaging in digital asset activities.
United States
28 Oct 2019
A New Frontier: Massachusetts Steps Up Its Focus On Student Loan Servicers
The Situation: Student loan debt in the United States stands at an all-time high of approximately $1.5 trillion spread across more than 44 million borrowers.
United States
18 Oct 2019
Double Trouble: Court Advises Liquidators To Reject A$905 Million Proofs Of Debt
A liquidator can reject a "double proof" for what is, in substance, the same debt as another accepted proof of debt.
16 Oct 2019
Second Circuit Breathes New Life Into Conduct And Effects Test
The common thread that seems to explain the Second Circuit's divergent decisions in Brent Crude and Choi is the location of the alleged misconduct.
United States
16 Oct 2019
Decision Time For The ISDA 2019 Narrowly Tailored Credit Events Protocol
The International Swaps and Derivatives Associations, Inc. ("ISDA") is in the process of amending its credit derivatives documentation to address concerns market participants and regulators
United States
24 Sep 2019
FINRA Clarifies When Credit For Extraordinary Cooperation Will Be Awarded In Investigations
The Situation: In recent years, broker-dealers have been seeking further transparency from the Financial Industry Regulatory Authority ("FINRA")
United States
19 Sep 2019
Australian Financial Services Subject To Perfect Storm Of Enforcement
Recent strategies and initiatives announced by Australia's corporate and prudential regulators and the Australian government's release in August 2019 of its Financial Services Royal Commission
18 Sep 2019
ISDA Pre-Cessation Trigger Consultation On LIBOR Renders Inconclusive Verdict
The International Swaps and Derivatives Association ("ISDA") is in the midst of consulting the market on a wide variety of issues to develop "triggers" and "fallbacks"
United States
13 Sep 2019
NY DFS Doubles Down On FinTech, Consumer Protection, And Cryptocurrency Regulation
The New York State Department of Financial Services creates a new FinTech Division.
United States
12 Sep 2019
FINRA Advises Member Firms To Submit Questions To The SEC On Regulation Best Interest
FINRA advises broker-dealers about the SEC's recently adopted Regulation Best Interest and solicits implementation questions.
United States
11 Sep 2019
SEC/FINRA Issue Joint Guidance On Broker-Dealer Custody Of Digital Assets
The Statement identifies several issues that broker-dealers participating in digital asset securities trades must consider, including, most notably, the custodying of such assets.
United States
11 Sep 2019
Five Federal Financial Regulators Exclude Community Banks From Volcker Rule Regulations
The regulatory changes will be effective as of the date of publication of the final rule in the Federal Register.
United States
23 Jul 2019
Mandatory Summer Reading: SEC Staff Issues Rare Joint Statement On LIBOR Transition
The Divisions and the OCA released the Statement on July 12, 2019.
United States
23 Jul 2019
New Regime For Debt Prospectuses : Ready, Set, Go!
Debt capital markets players are entering into the Prospectus 3 era, with three major changes impacting debt prospectuses.
European Union
22 Jul 2019
How To Screen Investments For Sustainability
This classification system, or "taxonomy," is the first priority of the European Union's 10 Step Action Plan.
European Union
19 Jul 2019
CFTC Scrutiny Of Opportunistic CDS Strategies Extends Beyond Manufactured Credit Events
The buyer of protection pays a premium to the seller of protection in order to receive protection against a credit event.
United States
19 Jul 2019
Bank Of England Publishes Discussion Paper On Risk Management Systems For Collateral Referencing LIBOR
The BoE requests that views be submitted to the discussion paper by September 27.
9 Jul 2019
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