Mondaq USA: Finance and Banking > Financial Services
Mayer Brown
Many thought that with former Director Richard Cordray's resignation, the Consumer Financial Protection Bureau (CFPB) would stop using its abusiveness authority in enforcement actions.
Dentons
On September 3, 2019, the Department of the Treasury's Office of Foreign Assets Control (OFAC) issued the Nicaragua Sanctions Regulations as 31 CFR Part 582.
Dentons
The Senate Banking Committee held a hearing on September 10 on the Trump administration's housing finance reform plans.
Jones Day
The International Swaps and Derivatives Association ("ISDA") is in the midst of consulting the market on a wide variety of issues to develop "triggers" and "fallbacks"
Kramer Levin Naftalis & Frankel LLP
La loi n° 2018-727 du 10 juillet 2018 a prévu des ordonnances pour réformer le régime du taux effectif global, dont l'une pour les sanctions civiles.
Mayer Brown
On Tuesday (September 3, 2019), the U.S. District Court for the District of Columbia issued an order dismissing a lawsuit filed by the Conference of State Bank Supervisors
Mayer Brown
The revisions defer further action on the covered fund issues most relevant to securitizations and CLOs to a later rulemaking.
Mayer Brown
The Wall Street Journal recently quoted Mayer Brown Partner Matthew F. Kluchenek regarding a federal judge's demand that the new chairman and two commissioners of the Commodity Futures Trading Commission
Ostrow Reisin Berk & Abrams
Since 2012, more than 100 portals focused on CRE investments have launched and various investment models have emerged.
Ostrow Reisin Berk & Abrams
A shift in model meant a greater need for inventory discernment and an entirely new e-commerce solution.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
Cadwalader, Wickersham & Taft LLP
A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement ("Division")
Cadwalader, Wickersham & Taft LLP
A former Chief Compliance Officer/General Securities Principal ("CCO/GSP") settled FINRA charges for failing to (i) update employee forms concerning reportable events within 30 days of discovery
Eide Bailly LLP
As a partner or co-owner (private shareholder) of a business, you've spent years building a valuable financial interest in your company.
Gibson, Dunn & Crutcher
Since it was enacted in July 2010, the Dodd-Frank Act's Volcker Rule has challenged banks and their regulators alike. This is particularly the case with respect to its restrictions
Cadwalader, Wickersham & Taft LLP
The associated person of an introducing broker agreed to settle CFTC and CME charges (see here and here, respectively) for fraudulent solicitation
Cadwalader, Wickersham & Taft LLP
A general securities representative settled FINRA charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds ("LIETFs")
Jones Day
The New York State Department of Financial Services creates a new FinTech Division.
DLA Piper
The Securities and Exchange Commission (SEC) recently issued guidance clarifying the proxy voting responsibilities of investment advisers (IA Proxy Release).
Cooley LLP
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Morrison & Foerster LLP
On August 20, 2019, the Office of the Comptroller of the Currency ("OCC") and the Federal Deposit Insurance Corporation ("FDIC") approved a final rule (the "2019 Final Rule")
Debevoise & Plimpton
The first half of 2019 has seen increased clarity on a number of substantial issues that have affected both general and limited private equity partners.
Butler Snow LLP
No, we have not reversed global warming. But, we do have the Immigration and Customs Enforcement ("ICE") coming to our meetings in August.
BakerHostetler
This week the New York State Department of Financial Services announced that it has authorized a major U.S. cryptocurrency exchange and custodian to offer two new virtual currency products.
Cahill Gordon & Reindel LLP
Recent litigation involving the telecommunications company Windstream Services, LLC and Aurelius Capital Master, Ltd. has heightened market focus on noteholders that, through derivatives, take an economic interest ...
Cadwalader, Wickersham & Taft LLP
On August 29, 2019, an Illinois court denied a petition by a political activist and a hedge fund seeking leave to file a lawsuit claiming that approximately $16 billion of Illinois's
Proskauer Rose LLP
In early August 2019, the Luxembourg regulator, the Commission de Surveillance du Secteur Financier (the "CSSF"), confirmed in a press release that it had opened an online portal to allow UK firms currently using a financial...
BakerHostetler
This week, the U.S. Securities and Exchange Commission (SEC) issued to Pocket Full of Quarters Inc. (PoQ) a no-action letter related to PoQ's distribution of its Quarters product, an ERC20 token.
Morrison & Foerster LLP
On August 20, 2019, the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) approved a final rule
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
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