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SEC Exam Review Prompts Risk Alert On Advisers Act Custody Rule Compliance (Financial Services Alert For March 5, 2013)
The SEC's Office of Compliance Inspections and Examinations issued a National Examination Risk Alert that discusses areas of non-compliance with Rule 206(4)-2.
United States
6 Mar 2013
FRB Announces Optional Pre-Filing Review Process (Financial Services Alert - July 24, 2012)
On July 11, 2012, the FRB issued supervisory guidance describing a new, optional process for submitting requests for pre-filing review of specific aspects of proposed acquisitions.
United States
25 Jul 2012
SEC Adopts Final Rules On Compensation Committee And Compensation Adviser Independence
On June 20, 2012, the U.S. Securities and Exchange Commission (the "SEC") adopted final rules1 (the "Final Rules") to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank Act") concerning the independence of compensation committees, the engagement and independence of compensation advisers and new proxy statement disclosures regarding compensation consultants
United States
19 Jul 2012
New Disclosure Obligations For Sponsors Of ERISA Plans And Service Providers With ERISA Clients
Significant attention continues to be focused on the compensation paid to entities that provide investment management, recordkeeping and other services to plans.
United States
9 Jul 2012
Conflict Minerals: What Public Companies Need To Know
After multiple delays and extensions, the SEC appears poised to issue final rules implementing Section 1502 of the Dodd-Frank Wall Street Reform.
United States
1 Jul 2012
Federal Banking Regulators Issue Final Guidance on Bank Stress Testing Framework for Large Banks
The FRB, FDIC and the OCC released final guidance on stress testing for banking organizations with more than $10 billion in assets.
United States
30 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
Consumer Financial Services Alert - May 15, 2012
The CFPB, FTC and DOJ intervened in a lawsuit alleging that Section 1681c of the Fair Credit Reporting Act, which prohibits consumer reporting agencies from disclosing arrest records and other adverse information that is older than seven years.
United States
17 May 2012
CFPB Issues Guidance On Compliance With Fair Lending Requirements Of ECOA
The CFPB issued a guidance bulletin on compliance with the fair lending requirements of the Equal Credit Opportunity Act and its implementing regulation, Regulation B.
United States
17 May 2012
The JOBS Act: A Game Changer For Emerging Growth Companies
The House of Representatives yesterday voted 380-41 to approve the Jumpstart Our Business Startups Act (H.R. 3606) (the "JOBS Act"), which was previously approved by the Senate by a vote of 73-26. The JOBS Act is now headed to President Obama, who is expected to sign it into law.
United States
5 Apr 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
DOL Issues Interim Policy On Providing Information Via Electronic Media Under Participant-Level Fee Disclosure Regulation
The Department of Labor Issued Technical Release No. 2011-03 Technical Release No. 2011-03 (the "Release"), setting forth its interim policy regarding the use of electronic media to provide information required to be furnished to participants of ERISA‑covered defined contribution plans under the participant-level fee disclosure regulation.
United States
10 Nov 2011
Financial Services Alert – November 1, 2011
The SEC announced that it had approved rules jointly drafted with the CFTC that are designed to fulfill the Dodd-Frank Act mandate to collect information from advisers to hedge funds and other private funds as necessary for use by the Financial Stability Oversight Council (FSOC) in assessing systemic risk.
United States
2 Nov 2011
Financial Services Alert – October 4, 2011
The SEC issued an order instituting administrative and cease-and-desist proceedings against a registered investment adviser (the "Adviser") and its founder and majority owner, who also served as its chief executive officer and chief compliance officer (the "Owner" and, collectively with the Adviser, the "Respondents") for misrepresenting in Form ADV the Adviser’s assets under management and for failing to disclose the Adviser’s poor financial condition to clients.
United States
5 Oct 2011
Financial Services Alert – September 6, 2011
FINRA has published Regulatory Notice 11-39 providing guidance on business communications on social media websites and on personal devices, particularly with respect to recordkeeping and supervision.
United States
7 Sep 2011
Court Recognizes "Commercial Reasonableness" In Finding For Bank In Data Security Breach Case
People's United Bank, the nation's largest regional bank headquartered in New England, won a key victory in a data security breach case that had been followed for two years by the national banking associations, as well as by American Banker and other industry publications.
United States
15 Aug 2011
Financial Services Alert – August 2, 2011
The SEC voted unanimously to adopt new Rule 13h-1 under the Securities Exchange Act of 1934 (the "Exchange Act"), which imposes reporting obligations on "large traders" and certain registered broker-dealers that execute their trades.
United States
3 Aug 2011
Financial Services Alert – July 26, 2011
The OCC issued a final rule last week implementing the changes to preemption standards and visitorial powers (the "Final Preemption Rule") made by Sections 1044 to 1048 of the Dodd- Frank Act. The Final Preemption Rule became effective on July 21, 2011.
United States
27 Jul 2011
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