Mondaq USA: Finance and Banking > Financial Services
On 5 December, the European Council of Finance Ministers (ECOFIN) released a list of countries it deemed to be non-cooperative tax jurisdictions.
Private equity and hedge fund firm Capricorn Capital Partners has led a group of investors to acquire a significant equity stake in Guernsey-based asset management company RAW Capital Partners.
Shearman & Sterling LLP
MiFID II is Europe's new financial regulation for investment business which came into effect on 3 January 2018.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of January 8 to January 12, 2018.
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker provides a list of upcoming comment deadlines, compliance dates, effective dates, reporting deadlines, and nomination dates.
Proskauer Rose LLP
On October 26, 2017, the SEC staff issued three no-action letters to help broker-dealers, investment advisers and investment companies comply with the European directive known as MiFID II as it pertains to payment...
Shearman & Sterling LLP
It is now time for foreign private issuers to prepare their annual reports on Form 20-F. For companies with a calendar year-end, the Form 20-F must be filed with the U.S.
Seyfarth Shaw LLP
Ninth Circuit upholds district court decision granting five businesses injunctive relief, finding that state law banning credit card surcharges is unconstitutional as applied to the five businesses.
Cadwalader, Wickersham & Taft LLP
The results from an FDIC Credit and Consumer Products Survey suggest that risk is increasing in the industry.
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") appointed chairs and deputy chairs of all Federal Reserve Banks for 2018.
Cadwalader, Wickersham & Taft LLP
The FDIC provided a list of forward-looking credit metrics that banks should monitor as part of an effective credit management information system ("MIS").
Morgan Lewis
Certain individuals who have only signature authority over foreign financial accounts now have until April 15, 2019 to file the Report of Foreign Bank and Financial Accounts.
Troutman Sanders LLP
2017 was a transformative year for the consumer financial services world. As we navigate an unprecedented volume of industry regulation and forthcoming changes from the Trump Administration...
Cadwalader, Wickersham & Taft LLP
Federal Reserve Bank of New York ("NY Fed") Senior Vice President Lorie Logan discussed the future of the London Interbank Offered Rate ("LIBOR") and the NY Fed's efforts to administer...
Holland & Knight
Many states, local governments and conduit borrowers have directly placed tax-exempt loans with lenders, such as banks and their non-bank affiliates, instead of going to the public markets.
McDermott Will & Emery
Cryptocurrency and blockchain technology are increasingly finding their way into the general public's investment portfolio and daily use.
Cadwalader, Wickersham & Taft LLP
FINRA requested comments on proposed amendments to FINRA Rule 4521 (Notifications, Questionnaires and Reports).
Arnold & Porter Kaye Scholer LLP
On January 8, 2018, the Federal Deposit Insurance Corporation (FDIC) proposed a revised Statement of Policy (SOP) for Section 19 of the Federal Deposit Insurance Act
Ogletree, Deakins, Nash, Smoak & Stewart
Three prominent financial services companies recently announced their withdrawal from the Protocol for Broker Recruiting, an agreement among securities firms regulating the conduct of stockbrokers...
Shearman & Sterling LLP
On December 14, 2017, the EU Single Resolution Board and the US Federal Deposit Insurance Corporation announced that they had signed a cooperation agreement which would provide for information sharing...
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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.
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Seyfarth Shaw LLP
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Carlton Fields
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McLane Middleton, Professional Association
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Carlton Fields
New York's Department of Financial Services decided to bid farewell to 2017 and ring-in the new year by proposing to amend Suitability in Annuity Transactions, 11 NYCR 224 (the Annuity Suitability Rule).
Cadwalader, Wickersham & Taft LLP
The Board of Governors of the Federal Reserve System ("FRB") requested comments on proposed guidance related to supervisory expectations for large financial institutions' risk management practices.
Treasury's FinCEN recently announced the creation of the FinCEN Exchange, a new voluntary platform to facilitate information sharing between the government and industry on topics related to AML...
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