Financial Institutions Banking

Published between:
Published Title Organization
Sep
11
2020
 Everybody in the Pool! The SEC Expands the Definition of Accredited Investor Dinsmore & Shohl LLP
Sep
11
2020
 CFTC Releases Climate Risk Report & Plans Open Commission Meeting Katten
Sep
11
2020
 Bank of England’s Governor Discusses Digital Currencies Hunton Andrews Kurth
Sep
11
2020
 FCA publishes new supervision strategy for Insurance Intermediaries Squire Patton Boggs (US) LLP
Sep
10
2020
 CFPB to Hold First Tech Sprint Squire Patton Boggs (US) LLP
Sep
10
2020
 Regaining the Banks’ Flight Control Monitors to Navigate the COVID-19 Storm Jones Walker LLP
Sep
10
2020
 New York’s Department of Financial Services Files First Enforcement Action Under New Cybersecurity Regulation Faegre Drinker
Sep
10
2020
 COVID-19: US State Policy Report – September 5-9, 2020 Squire Patton Boggs (US) LLP
Sep
10
2020
 Rocky Mountain Low? Implications of the Settlement of Colorado's Challenge to Partnerships Between Banks and Marketplace Lenders K&L Gates LLP
Sep
10
2020
 Reflections on COVID-19 – Views From Germany Squire Patton Boggs (US) LLP
Sep
10
2020
 When the Tank Is Empty: Auditing in the Time of COVID-19 Norris McLaughlin P.A.
Sep
9
2020
 Weekly IRS Roundup August 31 – September 4, 2020 McDermott Will & Schulte LLP
Sep
9
2020
 SEC Adopts Amendments to “Accredited Investor” Definition Robinson & Cole LLP
Sep
9
2020
 Executives Explore the Ins and Outs of Managing Vendors and Vendor Risk in Compliance-Intensive Industry Ward and Smith, P.A.
Sep
9
2020
 OCIE Issues Recommendations for Firms to Mitigate COVID-19-Related Compliance Risks Vedder Price
Sep
9
2020
 Best Interest Standard of Care for Advisors #30 Faegre Drinker
Sep
9
2020
 District Court Rules that Great-West Did Not Breach Fiduciary Duties Under Section 36(b) Vedder Price
Sep
9
2020
 SEC Proposes Updated Form 13F Reporting Threshold for Institutional Investment Managers Vedder Price
Sep
9
2020
 SEC Settles Charges against Two Advisers Relating to Misrepresentations to Clients about Payment for Order Flow Arrangements Vedder Price
Sep
8
2020
 LIBOR Transition Efforts Continue Despite COVID-19 Impacts; Best Practices To Take Now Jones Walker LLP
Sep
8
2020
 SEC Proposes Modernization of Fund Disclosure Regime Vedder Price
Sep
8
2020
 SEC Amends Proxy Rules Relating to Proxy Voting Advice Vedder Price
Sep
8
2020
 SEC Seeks to Increase the Security of the Data on the Consolidated Audit Trail National Market System Norris McLaughlin P.A.
Sep
8
2020
 Business Email Compromise Scams: What You Should Know and What You Can Do To Be Prepared Faegre Drinker
Sep
8
2020
 SEC Expands Accredited Investor Definition Steptoe & Johnson PLLC
Sep
8
2020
 FCRA Allegations Dismissed Due to Plaintiff’s Lack of [Alleged] Confusion Squire Patton Boggs (US) LLP
Sep
8
2020
 Foreign Financial Services Providers Update K&L Gates LLP
Sep
6
2020
 Charges Against Marble Ridge Capital Founder Illustrate the Pitfalls That Await Members of Unsecured Creditors’ Committees Who Ignore Their Fiduciary Duties Winstead
Sep
4
2020
 SEC Stays Implementation of New NYSE Direct Listing Rules Katten
Sep
4
2020
 ISDA and AFME Request for an Extension of Relief on Brexit-Related Novation Katten
Sep
4
2020
 COVID-19: Governor Mills' Economic Recovery Grant Program; Applications Due September 9 Pierce Atwood LLP
Sep
4
2020
 CFTC No-Action Letter 20-23: CFTC Provides Additional Relief to Market Participants Transitioning from LIBOR Katten
Sep
4
2020
 CFTC No-Action Letter 20-24: CFTC Provides Relief from the Trade Execution Requirement Katten
Sep
4
2020
 CFTC No-Action Letter 20-25: CFTC Provides Time-Limited Relief from the Swap Clearing Requirement Katten
Sep
3
2020
 SEC Expands Definition of Accredited Investor Womble Bond Dickinson (US) LLP
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