Mondaq USA: Finance and Banking
Shearman & Sterling LLP
On February 8, 2018, the European Commission has announced that KPMG has been appointed to carry out a survey on the functioning of the Alternative Investment Fund Managers Directive ...
Shearman & Sterling LLP
In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and corporates.
Troutman Sanders LLP
In Culberson v. Walt Disney Parks and Resorts, the Culbersons brought a class action lawsuit against Disney under the Fair Credit Reporting Act ("FCRA").
Kramer Levin Naftalis & Frankel LLP
The Securities and Exchange Commission (SEC) has approved a proposal by the New York Stock Exchange (NYSE) to facilitate listing on the NYSE without a prior underwritten public offering.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight granted a request from ISDA to extend time-limited no-action relief to certain entities from the requirement to report continuation ...
Cadwalader, Wickersham & Taft LLP
FDIC Chair Martin Gruenberg described progress in the resolution-planning process for systemically important financial institutions ("SIFIs").
Cadwalader, Wickersham & Taft LLP
The SEC suspended trading in the securities of three penny stock companies (Cherubim Interests, Inc., PDX Partners, Inc., and Victura Construction Group, Inc.) ...
Milbank, Tweed, Hadley & McCloy LLP
A three-judge panel of the D.C. Circuit issued a unanimous decision holding that the final rules implementing the requirements of Section 941 of the Dodd-Frank Act do not apply to "open-market CLO" managers.
Fredrikson & Byron, P.A.
BlackRock, the world's largest asset manager, expects the companies in which it invests to do far more than deliver quarterly profits.
Fredrikson & Byron, P.A.
The twin pressures of succession planning and increased regulatory burdens have caused many bank owners to consider selling their banks.
Morrison & Foerster LLP
On February 14, 2018, the CFPB issued a Request for Information seeking comments on improvements to the CFPB's supervision program and "how best to achieve meaningful burden reduction."
Cadwalader, Wickersham & Taft LLP
The CFTC warned customers about virtual currency pump-and-dump schemes conducted in unregulated online cash markets.
Cadwalader, Wickersham & Taft LLP
The Federal Trade Commission ("FTC") returned more than $2.9 million to the victims of an alleged payday lending fraud scheme.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted temporary no-action relief to the wholly owned subsidiary (Shorcan, Inc., or "Shorcan") of a futures exchange (Intercontinental Exchange, Inc., or "ICE") from certain registration requirements for introducing brokers ("IBs") and the associated persons of introducing brokers ("APs").
Cadwalader, Wickersham & Taft LLP
The Subcommittee on Capital Markets, Securities and Investments reviewed legislative proposals relevant to derivatives end users.
Shearman & Sterling LLP
On November 6, 2017, the US Federal Reserve Bank of New York announced that President and Chief Executive Officer William C. Dudley plans to retire in mid-2018 ...
Shearman & Sterling LLP
On November 6, 2017, US Treasury Secretary Steven Mnuchin announced that Richard Berner, director of the Office of Financial Research, will step down effective December 31, 2017 ...
Shearman & Sterling LLP
On 26 October 2017, the SEC issued guidance to address certain extraterritorial issues under MiFID II, Europe's new financial regulation for investment business, which came into effect on 3 January 2018.
Morrison & Foerster LLP
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
Cadwalader, Wickersham & Taft LLP
The CFTC approved an amendment that replaces the lettering system used in its list of defined terms (CFTC Rule 1.3) with an alphabetized list.
Most Popular Recent Articles
On Dec. 5, 2017, the Federal Trade Commission reached a settlement with three defendants who it alleged partook in deceptive, abusive and unfair debt collection practices ...
Hughes Hubbard & Reed LLP
HSBC seems no stranger to regulatory news in the United States recently.
Kramer Levin Naftalis & Frankel LLP
The CFTC filed a federal court enforcement action, charging commodity fraud and misappropriation related to the ongoing solicitation of customers for a virtual currency known as My Big Coin (MBC).
Poyner Spruill LLP
Twelve years old. In North Carolina, a person as young as twelve years old may ride alone in a fully autonomous—or, "driverless"—vehicle.
What do you do when Africa's richest man, Aliko Dangote, publicly says that he is not in favour of investing in a fintech start-up and would rather invest in agriculture?
Reed Smith
On Tuesday February 6, 2018, U.S. Treasury Secretary Steven Mnuchin, in a speech before the House Financial Services Committee, offered some insights into how the Treasury Department ...
Mayer Brown
The U.S. Court of Appeals for the D.C. Circuit (the "court") has issued its long-awaited en banc decision in PHH v. CFPB.
Carlton Fields
Deficiency: a deficiency action is not an action to collect a consumer debt and, therefore, section 559.715, Florida Statutes, requiring 30 days' notice before any action to collect the debt...
Fenwick & West LLP
This report analyzes key aspects of initial public offerings (IPOs) for technology and life sciences companies that went public in 2017, with emphasis ...
Cadwalader, Wickersham & Taft LLP
The "FATF Public Statement," which was published on November 3, 2017, identifies jurisdictions that are subject to its call for countermeasures or are subject to enhanced due diligence due to their strategic AML/CFT deficiencies.
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