Mondaq All Regions: Finance and Banking
Goodmans LLP
Discussion of Operations - Disclosure of Capital Spending Milestones.
Shearman & Sterling LLP
The revised SREP Guidelines and the stress testing Guidelines will apply from January 1, 2019.
Nishith Desai Associates
NDA Funds Event With the Financial Services Commission, Mauritius.
Dentons
There may be such a thing as bad publicity, but there is no negative interest – at least, as would be payable under an unamended ISDA 1995 Credit Support Annex ("1995 CSA").
Mayer Brown
Parties to an ISDA Master Agreement may choose to enter into a Credit Support Annex whereby one or both parties are obliged to post collateral.
Morrison & Foerster LLP
On July 26, 2018, the Financial Conduct Authority (FCA) of the United Kingdom issued a Call for Input1 in relation to the Packaged Retail and Insurance-based Investment Products ...
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
Schnader Harrison Segal & Lewis LLP
The California Financial Code imposes caps on the interest rates that lenders may charge on consumer loans for less than $2,500.
Mayer Brown
The New York Stock Exchange LLC ("NYSE") proposes to amend Rule 2 to remove the FINRA or other national securities exchange membership requirement for member organizations.
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.
Mayer Brown
Beginning January 1, 2019, public-company borrowers will face a change to the treatment of leasing transactions under US Generally Accepted Accounting Principles ("GAAP") ...
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") fined a bank holding company for alleged improper execution of residential mortgage-related documents.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $875,000 to settle FINRA charges that it violated the Custody Rule (Exchange Act Rule 15c3-3) and several related FINRA rules.
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.
TMF Group
A small business seeks unsecured financing to expand. It's too small and risky, so the big banks are not interested - but there are plenty of investors who are.
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.
Norton Rose Fulbright Australia
Businesses should regularly review their insurance policies and consider the scope of cover and existing policy limits.
Worrells Solvency & Forensic Accountants
Section 588FDA of the Corporations Act provided that it was voidable as an unreasonable director-related transaction.
ClarkeKann Lawyers
PBAs are trust accounts, intended to protect down the line subcontractors from the insolvency of up the line contractors.
Blaney McMurtry LLP
In Atos IT Solutions v Sapient Canada Inc., the Court confirmed that the "minimum performance principle" places a common law limit on expectation damages for breach of contract.
Surry Partners
Parents should document any funding arrangement of a family property purchase, to avoid the risk of a costly dispute.
Worrells Solvency & Forensic Accountants
Using credit repair and debt management firms may mean consumers pay high fees and not get the solution they're seeking.
HHG Legal Group
Circumstances surrounding the entry into pre-nuptial agreements are considered when assessing their validity.
Cooper Grace Ward
Vendors to land sale contracts in Queensland should be aware of conditions that could result in an instalment contract.
Holley Nethercote commercial & financial services lawyers
Similar to past AUSTRAC risk assessments, this report has a broad application to the whole financial services industry.
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