Mondaq USA: Finance and Banking > Financial Services
Shearman & Sterling LLP
The revised SREP Guidelines and the stress testing Guidelines will apply from January 1, 2019.
Arnold & Porter
President Trump signed into law on August 13, 2018, as part of the National Defense Authorization Act of 2019 (NDAA), legislation that enhances the powers of the Committee on Foreign Investment
Arnold & Porter
On August 9, 2018, the New York State DFS issued four additional FAQs relating to its cybersecurity regulation, including guidance on how Covered Entities should address cybersecurity issues relating to their BHCs.
Shearman & Sterling LLP
On July 18, 2018, U.S. Board of Governors of the Federal Reserve System Vice Chairman for Supervision, Randal Quarles, discussed the tailoring of supervision and regulation for large financial institutions
Shearman & Sterling LLP
On August 7, 2018, the U.S. Court of Appeals for the Third Circuit affirmed a district court order compelling defendant, a broker-dealer and member of the FINRA, to submit to FINRA arbitration...
Mayer Brown
Last month's announcement by FINRA marks the completion of the consolidation of FINRA's enforcement functions under the leadership of Susan Schroeder.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to settle FINRA charges for allegedly failing to reasonably supervise mutual fund sales to ensure that eligible customers received ...
Cadwalader, Wickersham & Taft LLP
FINRA proposed amending its security futures risk disclosure statement to reflect that Securities Investor Protection Corporation's protection for customer cash ...
Cadwalader, Wickersham & Taft LLP
In a new report on interconnectedness and systemic risk, IOSCO, the Financial Stability Board, the Committee on Payments and Market Infrastructures ...
Cadwalader, Wickersham & Taft LLP
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
Mayer Brown
Offering documents for structured certificates of deposit make clear that the dealers selling the CDs will not make a market in the CDs.
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") proposed a revision to a report that must be completed in connection with capital assessments and stress testing requirements.
Cadwalader, Wickersham & Taft LLP
New York Department of Financial Services ("DFS") Superintendent Maria Vullo reminded all DFS-regulated entities covered by DFS's cybersecurity regulation ("covered entities") ...
Schnader Harrison Segal & Lewis LLP
In order to pursue its Congressional mandate to enforce Federal consumer financial laws, the CFPB may compel the production of documents or testimony by issuing a civil investigative demand ...
Arnold & Porter
On August 8, 2018, the FinCEN extended for an additional 30 days the exceptive relief granted to covered financial institutions from collecting beneficial ownership information on certain accounts...
Womble Bond Dickinson
Opportunity Zones are a powerful new economic development tool, designed to mobilize investment in underserved communities across the nation.
Cadwalader, Wickersham & Taft LLP
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
Cadwalader, Wickersham & Taft LLP
The Financial Crimes Enforcement Network ("FinCEN") extended previously granted relief that temporarily exempts certain products and services from the Beneficial Ownership Rule.
Cadwalader, Wickersham & Taft LLP
A coalition of 17 Attorneys General ("AGs") urged the SEC to bolster the requirements set out in proposed Regulation Best Interest (the "Proposed Rule").
Shearman & Sterling LLP
The report was prepared in conjunction with the Egmont Group of financial intelligence units.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
BakerHostetler
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 ...
Schnader Harrison Segal & Lewis LLP
The FDCPA requires that a debt collector attempting to collect a debt notify a consumer that (1) "unless the consumer . . . disputes the validity of the debt . . . the debt will be assumed to be valid by the debt collector," and ...
Shearman & Sterling LLP
On July 12, 2018, the Financial Stability Board published a statement welcoming the consultation by the International Swaps and Derivatives Association on fallbacks ...
Shearman & Sterling LLP
On July 11, 2018, the FDIC announced updates to four of its interagency forms: (i) the Biographical and Financial Report (OMB Control Number 3064-0006); (ii) the Bank Merger Act Application ...
Shearman & Sterling LLP
On July 18, 2018, the Financial Stability Board was seeking feedback on an initial evaluation of the effects of the post-financial crisis regulatory reforms on infrastructure finance.
TMF Group
With a well-placed strategic location, good economy, and stable political conditions, Curaçao is an ideal springboard for US businesses looking to expand into South America and other parts of the Caribbean.
Shearman & Sterling LLP
On July 9, 2018, the U.S. Federal Reserve Board and FDIC published the public portions of the July 2018 resolution plans for four foreign banking organizations, which plans focus...
Schnader Harrison Segal & Lewis LLP
The Fair Debt Collection Practices Act ("FDCPA") regulates the conduct of debt collectors.
GuernseyFinance
Guernsey has received an overall rating of ‘Compliant' from the OECD's Global Forum on Transparency and Exchange of Information for Tax Purposes.
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