Financial Institutions Banking

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Published Title Organization
Sep
15
2019
 German Government Publishes Proposed Law for Proprietary Trading Firms Katten
Sep
13
2019
 FCA Provides Updated Information on SM&CR Implementation Katten
Sep
13
2019
 CFTC’s Global Markets Advisory Committee to Meet on September 24 Katten
Sep
13
2019
 FINRA Issues Call for Candidates in Upcoming Small Firm Advisory Committee Election Katten
Sep
13
2019
 FINRA and SEC Issue Joint Statement on Security Token and Custody Rules Polsinelli PC
Sep
12
2019
 $267 Million Judgment against Debt Collector for TCPA Violations Robinson & Cole LLP
Sep
12
2019
 Unforced Errors: Don't Leave a Ground of the Court's Ruling Unchallenged Carlton Fields
Sep
12
2019
 Identifying 4(c) and 4(d) Documents for HSR Filings Epstein Becker & Green, P.C.
Sep
12
2019
 English Court of Appeal judgment recognises the importance of industry standard ISDA Master Agreement terms when challenged by a competing jurisdiction clause in a financing agreement Squire Patton Boggs (US) LLP
Sep
11
2019
 When Employee Consent Is The Start Of The Problem, Not The End – The GDPR Shows Some Teeth Squire Patton Boggs (US) LLP
Sep
11
2019
 The SEC Files Another Litigated Disclosure Case – With More Violations Faegre Drinker
Sep
11
2019
 Ouch: California Debt Collector Hit With $267 Million TCPA Verdict Squire Patton Boggs (US) LLP
Sep
11
2019
 Best Practices for Plan Sponsors #11 Faegre Drinker
Sep
10
2019
 Board Affirms Right to Unilaterally Implement Changes to Benefit Plans Based on Waiver, Foreshadowing Potentially Looser Standard for Contractual Waivers Proskauer Rose LLP
Sep
10
2019
 Irreconcilable Differences: In Dorman v. Charles Schwab Corp., Ninth Circuit Overrules 35-Year-Old Authority; Concludes ERISA Claims Subject to Mandatory Arbitration. Robinson & Cole LLP
Sep
9
2019
 An Overview of the SEC’s “Regulation Best Interest” and Form CRS Epstein Becker & Green, P.C.
Sep
9
2019
 Money-laundering prison sentences reach record high Squire Patton Boggs (US) LLP
Sep
7
2019
 ISDA Publishes Narrowly Tailored Credit Event (NTCE) Protocol Katten
Sep
6
2019
 FCA Announces Changes to AIFM Submission of Notification and Material Change Under NPPR Katten
Sep
6
2019
 NFA Amends CPO and CTA Performance Reporting and Disclosure Requirements Katten
Sep
6
2019
 FINRA Warns Investors of Potential Stock Fraud in Wake of Hurricane Dorian Katten
Sep
6
2019
 CFTC Announces Agenda for Market Risk Advisory Committee Meeting Katten
Sep
6
2019
 NFA Adopts Clarifying Changes to Rules and Interpretive Notices Katten
Sep
6
2019
 Jurisdictional Lessons from Mt. Gox Cryptocurrency Litigation Bilzin Sumberg
Sep
5
2019
 Should the Financial Industry Be Detecting Future Mass Shooters? Ballard Spahr LLP
Sep
5
2019
 Important Differences Between Federal and Private Student Loans Varnum LLP
Sep
5
2019
 Illinois Judge Holds That Courts Cannot Rule Retroactively on Validity of State Debt Cadwalader, Wickersham & Taft LLP
Sep
4
2019
 Biometrics Replacing Passwords: Prospects and Concerns K&L Gates LLP
Sep
4
2019
 Proposed Senate Bill Would Significantly Impact Certain Private Funds and Their Affiliates Proskauer Rose LLP
Sep
3
2019
 FINRA Issues Supplemental Guidance on Giving Credit for Extraordinary Cooperation Vedder Price
Sep
3
2019
 OCIE Issues Risk Alert Relating to Investment Adviser Oversight of Supervised Persons with Disciplinary Histories Vedder Price
Sep
3
2019
 SEC Staff Issues No-Action Letter Extending Existing Multi-Manager Exemptive Relief to Non-Wholly-Owned Affiliated Sub-Advisers Vedder Price
Sep
3
2019
 Second Circuit Creates Split Regarding Private Right of Action for Rescission under Section 47(b) of the 1940 Act Vedder Price
Sep
3
2019
 Court Finds for Defendant Investment Adviser in Section 36(b) Excessive-Fee Case Vedder Price
Sep
2
2019
 Commercial PACE Works: National study shows only one default out of 1,870 deals von Briesen & Roper, s.c.
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