Financial Institutions Banking

Published between:
Published Title Organization
Dec
13
2016
 FinTech: Regulating Digital Advice in Australia K&L Gates LLP
Dec
13
2016
 FDIC Approves Extended Exam Cycles for Small Banks Covington & Burling LLP
Dec
13
2016
 UK's Alternative Investment Market Rules Social Media Squire Patton Boggs (US) LLP
Dec
13
2016
 Department of Labor Releases the First of Three Sets of FAQs on the Fiduciary Rule and Exemptions K&L Gates LLP
Dec
13
2016
 California Commissioner Finds Funding Is Not A Sine Qua Non For Lender Status Allen Matkins Leck Gamble Mallory & Natsis LLP
Dec
12
2016
 Congress and Advocacy Organizations Weigh in on PHH Case, SG to Follow Covington & Burling LLP
Dec
12
2016
 Bridging the Week: Dec 5 to 9 and Dec 12, 2016 (Position Limits; Aggregation; Owned Entity Exemption; Insider Trader; Manipulation) Katten
Dec
12
2016
 SEC Domestic Anti-Bribery Action – No Flyovers for Violations of Internal Policies Holland & Hart LLP
Dec
12
2016
 UK Financial Conduct Authority to Impose Remedies in Asset Management Sector Morgan, Lewis & Bockius LLP
Dec
10
2016
 Capturing Rollovers: What Information is Needed?: Interesting Angles on the DOL’s Fiduciary Rule #29 Faegre Drinker
Dec
10
2016
 FCA Publishes Updated Page on MiFID II Legal Entity Identifiers Katten
Dec
9
2016
 OCC to Charter FinTech Banks, Solicits Comments Womble Bond Dickinson (US) LLP
Dec
9
2016
 Community Banks Share Compliance Officers Covington & Burling LLP
Dec
9
2016
 CFTC Releases Results of ICE Futures U.S. Rule Enforcement Review Katten
Dec
9
2016
 CFTC Finalizes Aggregation Rules and Re-Proposes Position Limits Rule Katten
Dec
9
2016
 CFTC Re-Proposes Minimum Capital Requirements for Swap Dealers and Major Swap Participants Katten
Dec
9
2016
 FINRA Interprets “As Soon As Practicable” Requirement Under Trade Reporting Rules Katten
Dec
9
2016
 CFTC Commissioner Giancarlo Delivers Speech Urging Regulatory Reform Covington & Burling LLP
Dec
9
2016
 Director of SEC Division of Corporation Finance, Keith Higgins, To Leave SEC Katten
Dec
9
2016
 Federal Reserve Board Releases Research Paper on Digital Ledger Technology Covington & Burling LLP
Dec
8
2016
 The Year In Review: SEC Enforcement Actions Against Investment Advisers K&L Gates LLP
Dec
8
2016
 UK Department for International Trade announces FinTech mission to Australia K&L Gates LLP
Dec
7
2016
 Office of Comptroller of Currency Explores Special Purpose National Bank Charter for Fintech Companies K&L Gates LLP
Dec
6
2016
 FINRA Imposing Increasingly Major Fines for AML Failures K&L Gates LLP
Dec
6
2016
 Fintech Gains a National Platform: Federal Regulator Plans To Accept Fintech Applications for Special Purpose National Bank Charters Katten
Dec
6
2016
 New York Banks Face New Anti-Money Laundering Compliance Requirements, Effective January 1 Faegre Drinker
Dec
6
2016
 CFTC Finalizes Aggregation of Positions Rule Cadwalader, Wickersham & Taft LLP
Dec
5
2016
 New CFPB Compliance Bulletin Solidifies CFPB’s Skepticism of Sales Incentive Practices Covington & Burling LLP
Dec
5
2016
 As Year Winds Down, Hensarling Prepares for 2017; OCC Announces Limited Purpose Banking Charters for FinTech Companies Squire Patton Boggs (US) LLP
Dec
5
2016
 Bridging the Week: Nov 21 to Dec 5, 2016 (Capital for Swap Dealers; New Disciplinary Proceedings Procedures; Leverage Ratio) [VIDEO] Squire Patton Boggs (US) LLP
Dec
5
2016
 Who Pays for MiFID II implementation in UK? Katten
Dec
5
2016
 European Commission Adopts More MiFID II Delegated Regulations Katten
Dec
5
2016
 UK Supreme Court to Stream Live Today on Future of Brexit K&L Gates LLP
Dec
5
2016
 UK Financial Conduct Authority Publishes Interim Report on Asset Management Market Study Katten
Dec
4
2016
 UK FCA Confirms No Guidance to be Published on the Application of the UCITS Remuneration Code Katten
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